Bautista Book A PDF

RESEARCH AND
PUBLIC MANAGEMENT
BY VICTORIA A. BAUTISTA
II
University of the Philippines
OPEN UNIVERSITY
Research and Public Management
By Victoria A. Bautista
Copyright © 1998
by Victoria A. Bautista
and the UP Open University
Apart from any fair use for the purpose of research or private study,
criticism, or review, this publication may be reproduced, stored,
or transmitted in any form or by any means
ONLY WITH THE WRIT T EN PERMISSION
of the author and the UP Open University.
Published in the Philippines by the UP Open University

Office of Academic Support and Instructional Services
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Telephone 920-7117, 434-0580, 426-1514
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First printing, 1998

Second printing, 2000
ISBN 971-767-054-4
Illustrations by Warren De Lara

Book and cover design by Donato M. Alvarez
Printed in the Philippines

ACKNOWLEDGMENTS
In the preparation of these materials, I wish to acknowledge the contribution of several

persons. First and foremost is my critic, Dr. Ledivina Carifio, a facuity member of the UP
National College of Public Administration and Governance who used to teach this subject in
the residential course at the master and doctoral levels. In spite of the fact that she was then
busy as the Director of the Pahinungod of the UP System, she often gave her comments to
my modules sooner than I expected.
My Instructional Designer was Dr. Waldetrudes M. Sison of the UP College of Education.
My editor was Prof. Simeon Ilago of the UP National College of Public Administration and
Governance. He teaches research methods, apart from having a good track record in editorial
work of our college's publications.
I also wish to take this opportunity to thank specialists from the University of Victoria
(Canada) who reviewed the earlier versions of these modules that I wrote under a fellowship
given by the Philippine Technical Training and Assistance Program (PITAF) in November
1997. Foremost is Dr. Jim MacGregor, who gave immediate feedback on my outputs (a total
of 10 modules) during my brief stay at Canada. He gave very encouraging comments that
helped me move ahead with my writing. Credit also goes to the Instructional Designer from
the University of Victoria, Ms. Cathy Chan, who gave substantive suggestions in the presen
tation of the material to make it more attuned to the distance learning mode.
My students in Public Administration 299.2 in the second semester of Academic Year 1997-
1998 agreed to use the modules for the semester. T heir comments helped me finalize the
material.
T he UPOU Office of Academic Support & Instructional Services (OASIS) through Dr. Celia
Adriano was very supportive in extending immediate assistance in reproducing the materials
for the two classes that served as my "guinea pigs�' To her and her staff I owe a lot.
Finally, the person I am most indebted to in editing this book for publication is Professor
Patricia B. Arinto of the UPOU. I wish to express my gratitude to her.
CONTENTS
UNIT 1
OVERVIEW OF RESEARCH AND TYPES OF RESEARCH

IN PUBLIC MANAGEMENT
Module 1
The Meaning and Requirements of Research

Introduction, 5
Objectives, 6
1.0 A Definition of Research, 6
2.0 Characteristics of the Scientific Method, 7
3.0 Characteristics of Scientific Knowledge, 9
4.0 Qualities of a Good Researcher, 11
5.0 The Role of Fact and Theory in Research, 12
6.0 General Approaches to Research, 14
Summary, 17
Module 2
Overview of Research
Introduction, 19
Objectives, 19
1.0 The Research Process, 20
1.1 Identification of the Research Topic
and Formulation of the Research Problem, 20
1.2 Identification of the Research Methodology, 20
1.3 Collection of Data, 21
1.4 Processing of Data, 21
1.5 Preparation of the Report, 22
Module 3
Types of Research in Public Administration

Introduction, 23
Objectives, 23
1.0 Operations Research, 24
2.0 Evaluation Research, 26
3.0 Polic y Research, 33
4.0 Discipline Research, 35
5.0 Interrelationships of These Types of Researchers, 37
Summary, 40
UNIT II
ELEMENTS OF PROBLEM FORMULATION
Module 4
Statement of the Research Problem

Introduction, 47
Objectives, 47
1.0 Choosing a Research Problem, 48
2.0 Guidelines in the Selection of a Research Problem, 49
3.0 How to State the Research Problem, 51
4.0 Types of Research Problem, 52
Summary, 56
Module 5
Other Elements in the Statement of the Research Problem

Introduction, 59
Objectives, 59
1.0 Variables, 60
2.0 H ypothesis, 61
3.0 Operational Definitions, 63
4.0 Indicators, 67
5.0 Assumptions, 70
6.0 Review of Literature, 71
7.0 Significance of the Study, 77
8.0 Theoretical Framework, 78
Summary, 84
UNIT III
RESEARCH DESIGNS
Module 6
Quantitative Research Designs: Experiments

Introduction, 89
Objectives, 90
1.0 Background, 90
2.0 Rules for Inferring Causality, 91
3.0 Types of Explanatory Design: Causal Agreement, 94
4.0 Experiments and Public Administration, 101
Summary, 105
Module 7
Quasi-Experiments
Introduction, 107
Objectives, 108
1.0 Quasi-Experiments Defined, 108
2.0 Types of Quasi-Experiments, 109
3.0 Pre-Experiments, 111
Summary, 114
Module 8
Surveys
Introduction, 115
Objectives, 115
1.0 What is a Survey?, 116
2.0 Why Do Surveys?, 116
3.0 Basic Requirements in the Conduct of a Survey, 117
3.0 Types of Survey Designs for Causative Purposes, 118
4.0 Surveys of Relational and Descriptive Purposes, 126
Summary, 130
Module 9
Issues of Validity and Reliability

Introduction, 131
Objectives, 131
1.0 Validity and Reliability Defined, 132
2.0 Factors Affecting Validity, 132
3.0 Factors Affecting Reliability, 134
4.0 Issues oflnternal and External Validity, 136
Summary, 139
Module 10
Qualitative Studies
Introduction, 141
Objectives, 142
1.0 Qualitative Studies Defined, 142
2.0 Rules in Formulating Qualitative Research, 143
3.0 Case Studies, 144
4.0 Historical Research, 14 7
Summary, 151
UNIT IV
SELECTING THE UNIT OF ANALYSIS AND SAMPLING TECHNIQUES
Module 11
Selecting the Unit of Analysis and Probability Sampling Strategies

Introduction, 156
Objectives, 156
1.0 Basic Concepts in Dealing with the Elements ef the Study, 158
2.0 T he Importance of Sampling, 158
3.0 Types of Probability Sampling Strategies, 160
3.1 Simple Random Sampling, 160
3.2 Systematic Sampling, 165
3.3 Stratified Sampling, 166
3.4 Cluster Sampling, 167
Summary, 171
Module 12
Non-Probability Sampling and Sampling Issues

Introduction, 173
Objectives, 173
1.0 Non-Probability Sampling Defined, 174
2.0 Types of Non-Probability Sampling, 175
2.1 Accidental or Convenience Sampling, 175
2.2 Purposive Sampling, 175
2.3 Quota Sampling, 176
2.4 Snowball or Referral Sampling, 177
3.0 Possible Problems Regarding the Sampling Frame, 177
4.0 How to Resolve Sampling Frame Issues, 178
5.0 Combining Probability and Non-Probability Sampling, 179
Summary, 180
UNIT V
TECHNIQUES OF DATA COLLECTION
Module 13
Primary Techniques: Direct Observation

Introduction, 187
Objectives, 187
1.0 Primary Techniques of Data Collection, 188
2.0. Direct Observation Defined, 188
3.0 Types of Direct Observation, 190
3.1 Structured Observation, 190
3.2 Unstructured Observations, 191
4.0 Role of the Observer, 192
5.0 Keeping a Diary, 193
Summary, 196
Module 14
Interviews, Questionnaires, and Indirect Methods

Introduction, 197
Objectives, 197
1.0 Interviews and Questionnaires Defined, 198
2.0 Comparing Interviews and Questionnaires, 199
3.0 Telephone Interviews, 202
4.0 Rules in the Formulation of Questions, 203
5.0 Pretesting the Instrument, 206
6.0 Indirect Methods, 207
Summary, 210
Module 15
Scaling Techniques
Introduction, 213
Objectives, 213
1.0 Scales and Scaling, 214
2.0 Rules in the Formulation of Scales, 215
3.0 Rating Scales, 216
3.1 Graphic Rating Scale, 216
3.2 Itemized Rating Scale, 217
3.3 Comparative Rating Scale, 217
4.0 Multiple-Item Scales, 218
4.1 Differential Scale, 218
4.2 Summated Scale, 221
4.3 Semantic Differential Scale, 226
Summary, 229
Module 16
Secondary Techniques
Introduction, 231
Objectives, 231
1.0 Secondary Techniques Described, 232
2.0 Role of the Researcher, 232
3.0 Census Data and Statistical Records, 233
4.0 Personal Records, 236
4.0 Narrative Documents, 237
Summary, 240
UNIT VI
PROCESSING, DATA ANALYSIS AND INTERPRETATION
Module 17
Data Collection, Processing, Analysis, and Interpretation

Introduction, 247
Objectives, 247
1.0 Data Collection, 247
2.0 Processing Data, 248
2.1 Categorization, 249
2.2 Coding, 251
2.3 Application of Statistical Tools, 257
Summary, 270
Module 18
Writing the Research Report

Introduction, 271
Objectives, 271
1.0 Knowing the Audience of the Research Undertaking, 271
2.0 Content of the Technical Report, 273
3.0 Style in Reporting, 277
Summary, 282
Annex A. Basic Instructions in the Application of Microstatistics, 283

OVERVIEW OF RESEARCH
AND TYPES OF RESEARCH
IN PUBLIC MANAGEMENT
Dear Student,
This unit covers three modules.
The first provides you with an overview ofresearch as a method ofinvestigation.
The second module gives you an overview ofthe different steps involved in the con
duct ofresearch. It summarizes for you what will be covered in the entire course.
The third module discusses the different types of research in public management. It
tells you what common questions are raised in this field ofstudy. It also points out the
substantive base ofresearch in the discipline.
I hope you do the SAQs religiously. Please do not read the ASAQs without accom
plishing the SAQs.
Good luck.
MODULE 1
THE MEANING AND REQUIREMENTS
OF RESEARCH
INTRODUCTION
What is research all about?
You act like a researcher when you make practical decisions in your daily life. For
example, when you ask yourself, ''Am I going to bring my umbrella today?," you
may answer this by looking at the sky to see how cloudy it is. Or you watch or
listen to Ernie Baron, who reports PAG-ASA's estimate of the probability of rain
pouring on a given day.
These are two ways or methods of answering a question. The first is personal ob
servation, in which you do not make use of standardized equipment and processes
to make a generalization. PAG-ASA's weather forecast, on the other hand, is an
assessment based on scientific methods of investigation.
Of course, there ar� other ways of finding answers to querie� about reality. In some
instances, people rely on gut feel or intuition. In the rural areas, some people rely
on the wisdom of old people. "Listen to what the old folks say," they insist. For
instance, some women follow the old folks' warning not to try on one's wedding
gown before getting married, or the wedding will not materialize. Some also rely
on the power of the supernatural to make things happen. For instance, many peo
ple bring eggs to the Sta. Clara monastery in Quezon City and ask the nuns to pray
for fine weather on special days.
In other words, you can try to find answers to your questions in various ways. You
can also say the same thing for questions in the field of public administration.
What I will emphasize in this module is the value of conducting research using the
scientific method of investigation.
6 PM 299.2 RESEARCH AND PUBLIC MANAGEMENT
OBJECTIVES
This module aims to help you-
Define the qualities of research as a mode of inquiry;

Define the value of research in the field of public administration;
List the qualities of a good researcher; and
Distinguish broad approaches in the conduct of research.
1.0 A DEFINITION OF RESEARCH
Research is a method of inquiry for the purpose of obtaining facts in response to

questions we raise. It is a mode of finding answers to our queries-one among several
other ways such as intuition, tradition, and religion.
Research differs from these other modes of knowing. It is more than intuition or gut
feel because it is a systematic process of gaining information or knowledge. It differs
from tradition in that the latter is based on custom. But some traditional beliefs (like
the saying, "Spare the rod and spoil the child!") have been empirically tested and
validated and are therefore like research-based practices.
Research is also different from religion because the latter is based on faith in the su
pernatural. This is a realm that research does not validate. Being rooted in science,
research bases its answers on the investigation of empirically verifiable realm.
An empirically verifiable realm is one that is founded on factual information which

can be validated through observation. In other words, it is a realm based on sense
UP OPEN impressions. It consists of that which can be known through our sense of sight, hear
UNIVERSITY ing, taste, touch, and feeling.
OVERVIEW / The Meaning and Requirements of Research 7
This implies that not all queries can be answered by scientific investigation. The exist
ence of God cannot be proven scientifically. However, to ask about what a given group
of people believes in as supernatural is a legitimate research concern.
2.0 CHARACTERISTICS OF THE SCIENTIFIC METHOD
Let me now discuss the characteristics of research:
1. It is systematic. It proceeds through a series of steps and stages. On� cannot progress
toward collection and analysis of data without first knowing what the research
problem is all about. Research follows a logical flow which must be understood by
the investigator. Research does not proceed through trial and error to avoid waste
of resources in the implementation of the process.
2. It is accurate. The method of research emphasizes the importance of correspond

ence between what you say you have observed and what has actually occurred.
3. It is precise. Aside from accuracy, scientific investigation also aims at estimating

the exact count of the event that has occurred or may yet occur. Here statistics are
very helpful, since the thrust is to quantify the incidence of the event being ob
served. However, there are instances when counting is not possible, especially if
the objective is mainly to characterize what is happening and not to determine the
frequency of the event. For instance, we may be interested in the types of corrup
tion manifested in a regulatory agency and not necessarily in how often corruption
is committed.
4. Observations are recorded We cannot rely on memory to register everything that

we have observed. It is necessary to document observations with the aid of instru
ments. Some examples of instruments for recording information are questionnaires,
tape recorders for interviews, and many more.
QUESTIONA/Rf:.
�
�
� __ __
....,__
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Even the steps and processes we adopt in order to gather information and to decide
from whom information is gathered, for instance, will have to be recorded. Docu
mentation ensures that other researchers or interested parties will be able to check
the validity of the method applied for a particular investigation and the quality of
the results obtained.
5. Observations follow the rule of objectivity. This means that one's observations
must not be influenced by personal preferences, prejudices, biases, attitudes, and
feelings. Scientific research is undertaken through an assessment of what is rather
than what ought to be. Subjective influences are realities that we have to confront
especially if we are dealing with human behavior. Nevertheless, we should not
allow these preconceived notions to interfere in the conduct of our investigation.
6. Observations are usually undertaken under controlled conditions. This means

that as researchers, we aspire to eliminate other factors or variables that might
intrude into the observation of the major factors or variables that we wish to inves
tigate.
For instance, a favorite science experiment in grade school is to assess whether

sunlight has an effect on the color of the leaves of mongo beans. Normally, two
groups are set up. One is the experimental group where the seedlings are planted
and exposed to sunlight. The second one is called the control group because the
experimental variable (sunlight) is not introduced. The control group might be
hidden inside a cabinet.
Other unnecessary conditions are controlled or eliminated to enable us to trace the

impact of sunlight on the color of the leaves of the plant. What factors must be
held constant for the two groups? Think about it! (See the answers in Box 1-1.)
Why is it necessary to make these conditions constant or the same for the two
situations? Again, I wish to stress that we hope to attribute the nature of the growth
of the plant to sunlight and not to the other conditions.
We can use the methodology applied in this classic experiment to public adminis
tration. Some examples in public administration will be discussed in subsequent
sections to show you how the methodologies in the natural sciences can be applied
and modified in this field.
Various approaches or schemes for undertaking an investigation are available. They

are called research designs. We shall talk about this topic later. The different de
signs show ways of eliminating extraneous or unnecessary variables.
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Box 1-1. Factors that can be held constant for the mongo seeds exposed to
sunlight and those hidden inside a cabinet
Size of the can, type of seed used, amount of water for watering, nature of the
soil to be used
3.0 CHARACTERISTICS OF SCIENTIFIC KNOWLEDGE
Considering the characteristics of the scientific method, how do we ch·aracterize knowl

edge obtained using this method?
1. Knowledge derived from a scientific process is tentative. That is, it is theoretically

open to further question or scrutiny. Other researchers or academics with an inter
est in the topic may conduct further investigations to validate the argument of the
researcher. Knowledge is never final. There are generalizations that can withstand
the test of repeated observations and tests over time, and so acquire the status of
law. But they are still open to testing, further inquiry, or assessment.
2. Knowledge is shared and made public. Findings that remain in the private draw
ers or cabinets of researchers do not contribute to the fund of knowledge. Even if
they are derived from scientific investigation, such findings do not contribute to
the growth of learning if they are not communicated to the public. Remember the
saying about scientists who will be remembered for what they "publish," or else
they will "perish."
3. Scientific knowledge is empirically verifiable. If the method applied is objective

observation, then further investigations may be applied to test the validity of the
products of scientific investigation. Further observations can be made because the
information derived is observable.
4. Scientific knowledge is ethically neutral. This is because there is a conscious

effort on the part of the investigator to ensure that his/her biases do not affect
the investigation process. The knowledge derived from the objective process
is a statement of what is observed and does not reflect the personal preferences
of the investigator.
We must distinguish between the discussion of findings where the researcher is ex
pected to apply ethical neutrality, and the normative posture of researchers when they
give recommendations about the findings of their study. In many of the researches in
public administration which are discussed in the third module of this unit, research
ers also give recommendations based on the data derived from the research process. A
researcher, therefore, can suggest possible action that can be undertaken by decision
makers. The results of the investigation become the basis for giving recommenda
tions. They help in determining what would be a more feasible or acceptable alterna UP OPEN
tive to resolve a problem. UNIVERSITY
However, it is a different matter if the research process itself is tainted by the personal
preferences or biases of the investigator. The research output then ceases to be ethi
cally neutral.
Let us pause for a while and find out how much you have understood of the discus
sion. Please answer SAQ 1-1.
SAQ 1-1
Writ(: True or False in the blank before each item.
1. Knowledge derived from scientific investigations is final.

2. It is all right to criticize the method and results of scientific inves
tigation.
3. A researcher who is not comfortable with his/her investigation
does not share the findings of the study. This researcher's inves
tigation can still be considered a contribution to the fund of
knowledge as it is derived from a scientific process.
4. Not all questions can be considered a springboard for scientific
investigation.
5. A researcher who makes a recommendation to decision makers
based on the findings of the study violates the principle of ethi
cal neutruality.
See the answers to these questions in ASAQ 1 - 1.
ASAQ 1-1
as1e.:1 ·s
anJ1 ·y
as1e.:1 ·t:
anJ1 ·z
as1e.:1 ·i
If you got:
5 pts. - Very good!
4 pts. - Good.
3 pts. - Fair.
0-2 pts. - Start all over again.
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4.0 QUALITIES OF A GOOD RESEARCHER
To .be able to accomplish many of the requirements of scientific observation, a re

searcher must have the following qualities:
1. Honesty. A good researcher is one who reports all the information gathered on the
topic being investigated. No doctoring of data, please! A researcher cannot project
his/her preferences to the results of the study. For example, if there is one missing
response in your tally board, you have to find out who was missed in the set of
respondents. You should be able to account for all respondents.
2. Skepticism. As a researcher, you should always adopt a questioning mind with

regard to the truthfulness of the method, results, and interpretation of the data
gathered. Is your respondent credible? Are the statistical data accurate? Are the
statistical results computed correctly? Is the analysis correctly made? These are
some of the questions you may ask about the research process. Thus, at every step
of the research process, the search for truth prevails.
3. Openness to criticism. If you are skeptical about the information derived from
others, it is also important for you to be open to criticism. A good researcher is one
who is open to the suggestions of others to improve his/her methodology, findings,
and analysis.
4. Creative imagination. This is an important att�ibute for a researcher as it enables

one to package the most appropriate combination of approaches and methodolo
gies for gathering information.
The advantage of research is that you can determine the kind of product you wish
to generate through your involvement in the identification of approaches and proc
esses for answering your research problem. How you are able to mix the many
options available depends on your creativity.
5. Resourcefulness. A good researcher is one who explores many sources of informa

tion. For instance, instead of depending only on interviews to study the nature of
leadership, you may review official documents to determine the character or style
of the person being assessed.
6. Logical mind A researcher must be logical. To be logical is to be able to apply

sound reasoning to arguments raised in the conduct of research. A researcher is
expected to provide adequate justification for the research questions, the methods
and techniques of investigation, and the conclusions or generalizations about some
findings of the study. Logic is not taught in this particular course. However, you
are expected to have taken the subject prior to PM 299.2.
7. Patience. Patience is another virtue that a researcher must have. In research, the
answers to your questions are not obtained immediately since you have to go
through several processes to be able to arrive at a conclusion. It takes patience to UP OPEN
go though these processes. UNIVERSITY
5.0 THE ROLE OF FACT AND THEORY IN RESEARCH
Since research is based on empirically verifiable observations, it is accurate to say that

research is a fact-finding process. However, if it aims merely to gather facts and does
not weave these facts into common patterns, research would be a sterile exercise. Re
search also aims to develop concepts based on facts and is a means of facilitating com
munication among scholars and practitioners.
•
For instance, one of the common problems in the civil service is deviation from the
norms of public duty. In applying for a license for a franchise, some forms of deviation
include: a bureaucrat asking a client to pay a fee tct facilitate the processing of papers, a
bureaucrat facilitating the application form of a friend or a relative even if the application
came much later than the rest, and a bureaucrat signing the application even if the
requirements do not conform with the standard. As a result of research on these
practices, we now have a common label for such behavior. Do you know that it is? See
Box 1-2 for the correct answer. Did you get it? Very good!)
Beyond the formulation of concepts, research involves theory building. Research aims
to show the interrelatedness of a variety of concepts, and not simply to describe how
events take place (i.e., how corruption is manifested, or the forms of corruption). Re
search also aims to explain why certain events occur. It asks: What are the reasons why
this happens? After all, the ultimate aim of science is to predict and control the occur
rence of an event. Prediction and control cannot occur if there is no explanation for
the occurrence of an event. Determining the reasons why an event occurs is the begin
ning of theory building.
A theory is an "interrelated set of constructs (or variables) formed into propositions or

hypotheses that specify the relationship among variables (typically in terms of magni
tude or direction). The systematic view might be an argument, a discussion or a ra
tionale that helps explain (or predict) phenomena that occur in the world."(Cresswell
1994: 82)
Thus, research is both fact-finding and theory building.
I am sure you will be asking the question, which comes first? It depends on the overall
scheme or perspective or, as some would put it (Cresswell 1994), the approach adopted
for a given research-that is, whether it is qualitative or quantitative. In the next
section, I will make a distinction between these two approaches in the conduct of
research. The components of these methods and techniques will be discussed in sub
sequent modules.
Box 1-2. The label for deviations from the norms of public duty involving
the taking of bribes, etc.
The concept referred to is corruption. Did you get the answer correctly?
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5.1 HOW FACTS CONTRIBUTE TO THEORY BUILDING
Goode and Hatt (1952) cite the contribution of facts to theory building. First of all,
facts lead to the formulation of a theory. A theory is based on facts, or information on
why events happen. For instance, an explanation of why corruption occurs cannot be
made if there are no data to show why it happens.
Furthermore, facts lead to the reformulation or rejection of theory. Facts make us

rethink an existing theory as they begin to nullify some of its basic tenets. This is how
the neo-Marxist perspective of development, for instance, emerged. The neo-colonial
dependency paradigm is currently in vogue since a new form of capita!.ism has emerged
which the classical point of view did not take into account. Monopoly capitalism is a
basic structure in the world economy that was established and propagated by indus
trial capitalist economies in the Third World. This structure was not anticipated by
Marx. He only projected the inherent contradiction that exists between capitalists and
workers in a competitive capitalist framework in industrial societies. The recognition
of the new form of capitalism has led to the revision of the Marxist theory of develop
ment.
Facts also clarify theory. Theories can be appreciated only if there are factual data to
support it. For instance, Filipino adherents to the neo-colonial dependency perspec
tive continue to build evidence that multinational corporations adversely affect Phil
ippine development opportunities.
5.2 HOW THEORIES CONTRIBUTE TO FACTS
On the other hand, theories contribute to facts by providing an organizing scheme

that will guide the data gathering process. Theoretical frameworks provide a summary
of how facts are to be interrelated and even state the rationale for interrelating them in
a particular way. Theoretical frameworks provide the direction for gathering informa
tion. This. will be discussed in more detail in Module 3.
Theories also provide a scheme for analyzing data. Theories normally contain cat
egories for characterizing some concepts and therefore help in classifying informa
tion. For instance, explaining the reasons for corruptive behavior is facilitated by the
understanding that various forms of corruption exist in the Philippines. One can then
analyze the reasons in terms of the forms of corruption that are manifested.
Theories also point to gaps in knowledge. They indicate the parameters under which
a given condition can occur. At the same time, they indicate areas where adequate
information is not available and therefore can set the direction for future fact-finding
activities. For instance, when a team from the UP College of Public Administration
conducted a study on negative bureaucratic behavior, it was clarified that political
deviations from the norms of public duty which were not included in the study could
also be an area of inquiry. However, though the researchers considered these to be
important, they were not investigated since the regime of the dictatorship made the
topic a sensitive issue. UP OPEN
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6.0 GENERAL APPROACHES TO RESEARCH
The conduct of research is often influenced by the overall level of comfort, training,
and commitment of the researcher. At the outset, a researcher adopts an approach to
his/her study. An approach is one's general perspective or thrust in raising questions
and defining methodologies for gathering data. The approach determines the tools
and techniques to be implemented in research. These approaches can be broadly cat
egorized as qualitative and quantitative.
The qualitative paradigm is defined as "an inquiry process of understanding a social

or human problem based on building a complex, �olistic picture, formed with words,
reporting detailed views of informants and conducted in a natural setting" (Cresswell
1994: 2). The purpose of qualitative research is to characterize the phenomenon stud
ied by conveying a picture of it. The method of conducting the study is usually induc
tive since the facts are gathered first before a theory can be formed. The objective of
qualitative study is to derive patterns in order to formulate concepts and to posit inter
relationships among concepts. In other words, theory building results from the facts
obtained. As the event is observed, possible explanations for its occurrence-are derived
as an insight. The arguments explaining why it happens are not usually preconceived.
They are often posited after data collection.
An example of a qualitative study is Rex E. Navarro's doctoral dissertation entitled

"Public-Private Partnership in Development Administration: GO-NGO Collabora
tion in Agricultural Development" (1992). It dealt with processes that demonstrate
the interface of these two sectors, based on the experience of the People's Livelihood
Cooperative System. The study focused on (1) a documentation of the organizational
and administrative processes, mechanisms, and bottlenecks of GO-NGO collabora
tion in development administration; (2) the identification and explanation of the critical
elements contributing to the success of NGOs in administering agricultural develop
ment; (3) a description and explanation of how farmers' participation and empower
ment are brought about by NGOs; and (4) the formulation of a people-powered model
of development administration out of GO-NGO collaboration. The study derived data
mainly from participant observation, interviews of key informants, and document analy
sis.
A quantitative perspective, on the other hand, proceeds with an inquiry into "a social
or human problem, based on testing a theory composed of variables, measured with
numbers, and analyzed with statistical procedures, in order to determine whether the
predictive generalizations of the theory hold true" (Cresswell 1994: 2). In other words,
the process undertaken is deductive since a theoretical framework is expected to be
formulated even prior to data gathering. This can be done only if it is clear in your
mind what characterizes the concept that you will study and its sub-categories (e.g.,
corruption and its variants like lagay, lakad, areglo, etc.).
Furthermore, a quantitative study can proceed to the level of tracing interconnections

among the concepts that are to be validated in a study. Cause-effect relationships can
UP OPEN be confirmed. This normally entails an exact count of the observations in order that
UNIVERSITY generalizations that are applicable to a given population can be formulated.
An example of a quantitative research proposal was submitted by Enrique Gonzales

(1996) as part of his work toward a master's degree in public administration. He wanted
to know the profile of marine enlisted personnel in terms of selected socio-demo
graphic factors, their perceived organizational opportunities (i.e., interpersonal rela
tions with superiors, personal growth and promotional opportunities, leadership style
of supervisor, etc), and how these affect their work performance. The respondents
were enlisted personnel of the Philippine Marines to whom questionnaires were dis
seminated.
While qualitative and quantitative approaches are treated separately, they may both be
implemented by some researchers. In the field of public administration, I cannot see
how quantitative studies can be pursued without the researcher providing the context
under which the study is to be undertaken. For instance, we cannot proceed with an
assessment of a program's impact on the community if there is no qualitative discus
sion of the program, its objectives, structures, and approaches. On the other hand,
focusing merely on a program's content, approaches, and inputs is pointless unless we
talk about how they impact on target beneficiaries. Thus, both the qualitative and
quantitative perspectives may be combined in a particular study. Sometimes, though,
one perspective is more dominant than the other.
I summarize the distinction I made between quantitative and qualitative researches in

Table 1-1.
Table 1-1. A comparison of qualitative and quantitative approaches
Features QuanUtative Qualitative
Logic of inference Deductive (from theory to Inductive (from fact to

fact) theory)
Establishing relationships To establish cause-effect To explore the factors that

of factors/variables studied relationships/To relate the could explain why a given
occurrence of a variable event occurs
with other variables
Objective of the study To establish generalizations To establish patterns/To

for prediction and control develop a theory for under
standing how and why an
event occurs
In SAQ 1-2 are examples that typify the research approach of doctoral graduates of the
UP College of Public Administration. Can you identify the dominant perspective or
approach in the problem statement of the researchers?
UP OPEN
UNIVERSITY
SAO 1-2
Read the two cases below and answer the question after each case.
Case 1
In a dissertation undertaken by Catilo in 1981, she raised the following research
problems:
1. How do agrarian reform policies (i.e., Operation Land Transfer, Corporate Farming
Program and Masagana 99) allocate or distribute resources in the rural sector
along the criterion of social justice?
2. What are the consequences of agrarian reform policies on rural development?
For the first problem, a content analysis of sample policies was done to find out
whether particular sectors favored, if any, and the extent to which social justice
was applied. The data for the second problem were drawn from previous studies.
Question: What is the dominant perspective or approach of Catilo's study?
Case 2
A doctoral dissertation undertaken by Nasroden Gura (1985) sought to determine
the doctrinal position of Islam on family planning and the extent to which govern
ment has taken into consideration the doctrinal position of Islam. A content analysis
of policy statements of Islam and those of government was conducted.
In addition, the study also examined randomly selected Muslim women from Lanao
del Sur and Metro Manila concerning: (1) their level of knowledge and attitude
regarding Islamic doctrines; (2) the relationship between Maranao Muslim reli
gious beliefs and perceived family planning behavior; (3) the level of knowledge
and attitude of the Maranao Muslim regarding government fertility control poli
cies; and (4) the relationship between Maranao Muslim's knowledge and attitudes
toward the policies and their perceived family planning behavior.
Question: What is the dominant research approach or perspective of Guro's study?
See the answers in ASAQ 1-2.
UP OPEN
UNIVERSITY
ASAQ 1-2
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SUMMARY
This module started with a definition of research-that it uses a scientific method of

inquiry to obtain information or knowledge.
The method, which is based mainly on observation, is characterized by a systematic

approach, accuracy and precision, documentation of the process to enable scrutiny
and validation, objectivity, and where possible, controlled conditions.
The knowledge derived from the process can be characterized as tentative, public and
therefore open to scrutiny, and ethically neutral in presentation.
These requirements pose a great challenge to the researcher who is expected to have
the following qualities: honesty, skepticism, openness to criticism, creative imagina
tion, resourcefulness, a logical mind, and patience.
In the conduct of research, both fact and theory are closely intertwined. Facts contrib
ute to theory by initiating its formulation, by leading to its reformulation/rejection,
and by clarifying its significance. Theory, on the other hand, lends a scheme for sum
marizing the data to be gathered, providing categories to classify information, and
indicating directions for research through gaps in the existing body of knowledge.
The overall commitment, training, and inclination of a researcher may shape the way
a given problem is pursued or tackled. The two broad research approaches or perspec
tives are qualitative and quantitative. The qualitative perspective is concerned with a
research-based discussion of an event using narrative statements and is often con
ducted in the natural setting. On the other hand, the quantitative approach is commit UP OPEN
ted to the application of statistical procedures in order to test theory. UNIVERSITY
REFERENCES
Babbie, Earl
1995 The Practice of Social Research. New York: Wadsworth Publishing.
Catilo, Aurora Carbonell
1981 The Social Justice Component of Agrarian Reform and Their Consequences on Rural
Development. A doctoral dissertation submitted to the UP College of Public Administra
tion. Manila.
Creswell, John W.
1994 Research Design: Qualitative and Quantitative /}pproaches. Thousand Oaks, California:
Sage Publications.
Gonzales, Enrique
1996 An Assessment of Enlisted Personnel Work Performance in the Philippine Marines: A
thesis proposal submitted to the UP College of Public Administration. Quezon City.
Goode, William J. and Paul Hatt
1952 Methods in Social Research. Tokyo, Japan: McGraw-Hill Kogakusha.
Guro, Nasroden
1985 A Study on the Relationship between Religious Beliefs and Family Planning in the
Philippines: Focus on the Maranao Muslims. A doctoral dissertation submitted to the
UP College of Public Administration. Manila.
Kidder, Louise and Charles Judd
1986 Research Methods in Social Relations. 5 1h Edition. Holt, Rinehart and Winston.
Navaro, Rex
1992 Public-Private Partnership in Development Administration: GO-NGO Collaboration
in Agricultural Development. Doctoral dissertation submitted to the UP College of
Public Administration.
UP OPEN
UNIVERSITY
MODULE2
OVERVIEW
OF THE RESEARCH PROCESS
INTRODUCTION
This module discusses the different steps involved in the conduct of research. In
other words, it provides an overview of what the entire research process entails. In
a way, the module summarizes what will be discussed in the entire manual.
The research process may be divided into different parts. These are:
1. Identification of the research topic and specification of the research problem

2. Identification of the research methodology
3. Collection of data
4. Processing of information
5. Preparation of the report
An overview of each part is given in the subsequent sections.
OBJECTIVES
This module aims to help you:
Identify the major steps involved in the conduct of research; and

Describe the major processes and/or components of every step.
1.0 THE RESEARCH PROCESS
The different steps involved in the conduct of research include the following:
1.1 IDENTIFICATION OF THE RESEARCH TOPIC AND FORMULATION

OF THE RESEARCH PROBLEM
This is a very important part of the research process as it determines the subsequent parts.
The identification of the research problem has the following components: variables,
hypothesis (or hypotheses, if there are several), theoretical framework, operational
definitions/indicators/definition of terms, significance, and review of literature.
These components are not necessarily arranged according to the order in which they
are presented above. The order in which they appear depends on the researcher's style
of presenting his/her report. However, these are the usual components of academic
(i.e., thesis, dissertation, journal articles, etc.) and the technical reports prepared for
sponsoring or funding institutions.
In the field public administration, the different areas of specialization may require the
statement of the research problem to include other components, as in the case of policy
research. This manual discusses only the more generic or broad requirements and
components of research, and not the specialized requirements in policy research.
1.2 IDENTIFICATION OF THE RESEARCH METHODOLOGY
The methodological part of the research has four components, namely: research de
sign, sources of information, techniques of data collection, and scheme or tools for
analyzing data. These components are normally contained in the research proposal,
after the statement of the problem. Those pursuing the thesis track should note that
these are the elements/components the thesis committee will look for before they give
a student the go-signal to implement his/her research. Those bidding for a grant to
conduct research should note that the methodology is a critical part of the proposal as
it determines how much one can do, given a certain amount of funding.
The research design defines the overall scheme for conducting the study. It normally
distinguishes the number of groups to be studied. It also points out the timing of the
investigation. Will the study be done while the event is happening, after the event, or
before and after the event? Several options will be discussed, especially for investiga
tions that call for establishing relationships between factors/variables or the cause
effect type of argument.
From whom or where will information about the topic of the study be obtained? This
is a methodological issue that is raised and answered in the research proposal under
unit of analysis. Will the information be drawn from the persons who have direct
experience of the event being assessed or will it be derived mainly from materials
UP OPEN written by other persons or institutions? Another issue is: Will the population be
UNIVERSITY studied or only some of the elements representing the population? This question has
OVERVIEW / Overview of the Research Process 21
to do with approaches in sampling. This part of the study will discuss when (that is, at
what point in the study) and why one sampling method is preferred over another.
Another component or part of the methodology is the tools or techniques for gather
ing information that will be adopted. There are two types that will be discussed in
subsequent parts of this manual. One is called primary techniques because the instru
ments formulated draw information primarily from individuals who can convey their
direct experience in relation to the topic. These include, for instance, the formulation
of interview schedules, questionnaires, and direct observation. On the other hand,
secondary techniques apply tools that compile and summarize information from
sources, and do not require the researcher to interact directly with persons who have
experience of a given topic.
The fourth component encompasses the tools for data analysis. This is where your
study of statistics will come in handy. You can incorporate in your research proposal
the different tools that you will adopt to process and analyze your data. This topic is
discussed in another course; only a brief review will be provided here.
1.3 COLLECTION OF DATA
After your research proposal has been formally approved, you are ready to execute it as
planned. Some tips on collecting data will be provided in one of the modules here.
1.4 PROCESSING OF DATA
This phase of the research requires that you define what approaches you will apply to
organize your data in preparation for data analysis and interpretation. For quantita
tive information, this means determining the categories you will use for analysis. This UP OPEN
also means making a decision on whether you will code your data for manual or com- UNIVERSITY
puter operations. If your data are qualitative, the patterns and trends will be estab
lished at this point in the research process.
1.5 PREPARATION OF THE REPORT
The last phase of the research is the preparation of the report. The report contains a
description of the research problem and its components. It also contains an account of
how the research plan was implemented. Explanations for deviations and problems
encountered are included.
The report contains the description of the information or data derived from the ob
servations conducted, as well as the analysis of the data. What patterns are derived?
Are the researcher's hypotheses borne out by the data? Why these patterns? These are
some of the items that could be addressed in the preparation of the report.
A summary also helps to tie up the findings of the study.
Some reports include a section on recommendations. This will be the expectation of

applied research in public administration, to be discussed in the next module.
UP OPEN
UNIVERSITY
MODULE a
TYPES OF RESEARCH
IN PUBLIC ADMINISTRATION
INTRODUCTION
In this module, I will discuss the different types of research that are conducted in
public administration. I will provide the context and define the parameters of each
type of research in public administration. When I say "parameters," I am referring
to why a given research is initiated, the usual research questions raised, the unit of
analysis, the purpose of the investigation, and the role of the researcher.
The types of research in public administration discussed here include: operations

research, evaluation research, policy research, and discipline research.
It is important to distinguish these different types in order for us to be able to

define the kinds of factors to be studied or the questions to be raised. The type of
research also affects the set of methodologies that will be adopted in answering the
questions raised.
OBJECTIVES
At the end of this module, you should be able to:
Distinguish the different types of research in public administration;

Discuss how each type is formulated, the research questions raised, the
unit of analysis, the purpose of the study, and the role of the researcher;
and
Point out the interrelationship of these different types of research.
1.0 OPERATIONS RESEARCH
1.1 CONTEXT
Operations research is often conducted with reference to a given organization. Nor

mally, it is inspired by the recognition of a problem or a potential problem that may
affect the management of the organization. It is a change-oriented type of research
since the study is not complete unless its recommendations are accepted or put in
place.
If you will recall your organizational theory, any £actor that can constrain the function
of an organization may be considered a problem ·or a potential problem. (By the way,
what are the usual components of the organization? Do you remember them? Think
about it! I am certain that you have a basic knowledge of this topic because you already
have some orientation in public management.)
One of the internal components of an organization is inputs or the resources necessary

to fulfill the organization's objectives. These include the leaders, human resources,
material resources (i.e., technology, equipment, building), financial resources (the
money available to purchase goods and services), and the policy that serves as a basis
for the operation of the material resources of the organization. The latter includes the
legal and administrative mandates that spell out the functions of the organization and
the specific duties of leaders and staff. The financial resources are also spelled out;
they determine the kinds of activities that can be undertaken, including the material
resources that may be purchased.
Processes refer to the activities applied to the inputs to produce the outputs or prod
ucts of the organization. Processes include the management processes of planning,
implementation, and monitoring/evaluation. Planning refers to identifying the spe
cific directions for fleshing out how the organization will attain its vision. Implemen
tation focuses on activities to achieve the organization's short- and long-term aims.
Monitoring assesses the kinds of outputs produced in relation to inputs while work is
ongoing. Evaluation is another process or activity that an organization can pursue. It
is also a type of research in public administration, and is dealt with in another section.
Outputs are the organizational products that result from the processing of the inputs.
Products may include the services delivered by the organization to its target clients or
the public in general. One example is immunization of children who are one year old
and below. In social welfare, the extension of counseling to battered women is one of
the various services extended to women.
Another output could be the material goods produced to serve the public, such as
water resources to meet the daily requirements of the population. The construction of
museums in historical places is a common material product to boost tourism industry
in the Philippines.
UP OPEN Another form of output could be the issuance of regulatory measures to achieve com
UNIVERSITY pliance with certain standards. An example is the statement issued by the Department
OVERVIEW / Types of Research in Public Administration 25
of Health regarding the standards to be followed in setting up hospital facilities. At the

Department of Labor and Employment, standards are formulated in an occupational
setting to ensure the safety of workers.
Another product could be a particular type of human resource trained through the
efforts of the organization. For instance, an educational system produces services but
also creates a pool of manpower honed in particular fields of specialization.
See Figure 3-1 for a summary of the components of the organization that may be the
focus of operations research.
Figure 3-1. Summa,y of the components in an organization
INPUTS PROCESS OUTPUTS
Leaders
Human resources
----.. Planning
Implementation
----> Services
Goods
Financial resources Monitoring Regulatory measures
Policy statement Evaluation Manpower
1.2 RESEARCH QUESTIONS
The research questions raised in operations research often refer to the existence of an
organizational problem or potential problem with one or a combination of inputs or
processes affecting how outputs are delivered or produced. Another common research
question aims to ascertain the factors that relate to or influence the occurrence of a
problem in the internal components of the organization. The research focus also in
cludes identifying and testing the best possible solution to the problem.
For example, the problem of congestion during registration at the University of the
Philippines has been cited in the student paper, Philippine Collegian. In responding to
this problem, administration officials could initiate an operations research that will
determine where the bottlenecks occur and why. Factors that can be investigated are:
number of staff available in the different phases of registration (from advising, to issu
ance of classcards, to assessment and cashiering); the number of classes offered in
relation to student demand; availability of grades from previous semesters to deter
mine subjects that can be enrolled in; and the type of queueing system applied. Solu
tions can then be offered by the researcher based on the findings of the study on the
critical factors affecting congestion.
Administrative capability indicators, such as adequacy, timeliness, and appropriate

ness, can be used to assess the way inputs are utilized. Adequacy refers to the suffi
ciency of the inputs required for the organization's operations. For example, are there
enough staff members who will man the registration areas assigned to them? It is also UP OPEN
important to make sure that the input is delivered at the right time to avoid delays in UNIVERSITY
the operations of the organization. Appropriateness means providing the input that is
necessary. It is not enough to deliver input early; one should make sure that the input
delivered are of the right kind. Are the staff trained well for the kinds of activities they
are to implement?
In terms of process, a basic issue is whether or not there is compliance with the
agreed-upon procedures. Another issue perhaps is the responsiveness of existing
procedures to the changing needs and demands of clients and other components of
the organization.
1.3 UNIT OF ANALYSIS
It follows that the unit of analysis or the elements from whom/which data are collected
are the internal components of the organization. From this unit, we obtain informa
tion about such factors or variables as the inputs and the processes applied and how
these can affect the outputs.
1.4 PURPOSE OF THE STUDY
The ultimate aim of operations research is to help decision makers determine what
corrective measures can be instituted to improve the flow of resources or processes.
The results may imply the need to add or upgrade inputs or resources.· For instance,
congestion may be the offshoot of a shortage of faculty advisers, resulting in a long
queue. This implies a need to deploy more faculty members, especially during peak
periods, to ensure shortened waiting times.
1.5 ROLE OF THE RESEARCHER
The role of the researcher in operations research is both empirical and normative. It is
empirical since evidence is collected to establish whether or not a problem exists, and
to identify what factors influence it. Furthermore, several options for solving the prob
lem could be tested to determine what could finally serve as the optimal solution to the
problem. The optimal solution is the most feasible in terms of time, resources, and
implication for clients and other sectors. The research findings become the basis for
the researcher's recommendations on potential areas where improvements can be made.
Deciding on what to recommend is the normative contribution of the researcher.

It is normative because a value-judgment is made, although it is formed on the
basis of data gathered through a particular process that conforms with basic scien
tific principles.
2.0 EVALUATION RESEARCH
2.1 CONTEXT
UP OPEN Evaluation research measures or assesses the performance ( or potential performance)

UNIVERSITY of programs or projects intended for the public good. Projects are normally sub-com-
ponents of a program, which is more comprehensive in scope. A program may consist

of a number of projects, which together are designed to achieve the goals of the pro
gram. Typically, such programs or projects are legally mandated to pursue certain goals
within a prescribed time span.
The usual research questions have to do with the level of performance of programs
and/or projects and the factors that influence performance. These factors are identi
fied by the researcher and they may include:
internal components of the organization, which include both the input and
process levels, and
external components, which may encompass the characteristics of the benefi
ciaries of the program, such as their social class, educational attainment, in
come level, age, sex, etc. Other factors in the external environment that can
influence the implementation of the program or project are the socio-cultural
context, political situation, and peace and order conditions.
Unlike operations research, evaluation research focuses more on the effect or im
pact of a program or project on the beneficiaries and other sectors or groups af
fected by it. Effects refer to the short-term benefits for target beneficiaries. On the
other hand, outcomes refer to long-term benefits or the ultimate concern of the
program or project. For instance, an initial effect of a family planning program is
the improvement in knowledge, attitude, and practice (KAP) of family planning.
On the other hand, an impact of parental absence could be the reduction in the
population growth rate. In health, an effect of immunization is the reduction of
preventive diseases targeted by vaccination. The impact is the reduction in mor
tality rate.
In understanding the effect or impact of a program or project, it is important to

consider not only the intended but also the unintended consequences. Intended
consequences are those formally designed by the program (for example, reducing
family size as an initial effect of the family planning program). An unintended
consequence is not designed by the program. For instance, an unintended conse
quence of the drive to constrict the size of the family could be the decline in the
source of support for aging members of the family. To cite another example: the
intended consequence of the overseas workers program is to provide jobs to un
employed and underemployed workers. An unintended consequence is the break
down of family ties and the adverse psychological impact on the children. An
evaluation study of the overseas workers program should assess both its positive
and negative consequences.
Evaluation research goes beyond the concerns of inputs and processes as components
of an organization. It takes into consideration the completion of the outputs and the
implications of these outputs for target beneficiaries and other stakeholders such as
the government, nongovernment organizations, and the private sector. UP OPEN
UNIVERSITY
The unit of analysis or the focal element in evaluative research is the program or
project. The specific elements from which information about it may be derived may
encompass various groups, including the organization managing the program and other
affected entities that are external to the organization. Unlike operations research, evalu
ation research includes among the elements about whom/which data are gathered those
from outside the organization. They include external groups such as beneficiaries or
other sectors that may have a stake in the program. We can gather information from
them to make an assessment of the program or project. For instance, in assessing the
impact of setting up a public toilet that imposes us�r charges, the tourism industry can
elicit the reactions of both the public and the construction companies who will con
struct the toilet on a build-operate-transfer scheme.
Evaluative research can be undertaken at different points in time in the life cycle of a
program. When the assessment is conducted before the program or project is imple
mented, it is called ex ante evaluation or feasibility study. This looks into the poten
tial performance of a program or project, including the factors that could influence its
performance. For instance, before a dam is constructed, the reaction of people who
will be displaced may be ascertained. Passengers in mass transport terminals could be
asked about their willingness to pay for clean public toilets before construction be
gms.
Ex ante evaluation hopes to determine whether the program or project is worth imple
menting. It is also undertaken to find out what aspects of the program or project can be
modified to assure its successful implementation.
Another type of study is called in vivo or process evaluation. This focuses on the
ongoing implementation of the program and on what influences that implementation.
While it is often confused with monitoring because process evaluation also examines
how outputs are attained in relation to inputs, process evaluation goes beyond moni
toring. Process evaluation also determines the initial implication or effects of the pro
gram on targeted beneficiaries and other groups (Inayatullah APDC: 1960: 58-60). It
poses questions like: Were the people reached in the first place? How do they respond
to the program? What has it initially done for them?
Like monitoring and operations research, this type of assessment is intended to come
up with corrective measures for problems or bottlenecks in implementation. Process
evaluation also helps managers to determine whether the program or project should
be continued. It may be discovered, for example, that a program is eliciting violent
reactions that could cost lives, and may thus have to be reconsidered by management.
For instance, the proposal to set up an incinerator plant in the country has reaped
objections from environmentalists. Top government leadership can rethink this deci
sion on the basis of the possible negative implications on the environment that are
pointed out by these advocates.
UP OPEN The third type of evaluation is ex post and impact evaluation. Both focus on assess
UNIVERSITY ments after the completion of the program or project. However, ex post evaluation may
be carried out to assess immediate effects after the program has phased out. Impact
evaluation, on the other hand, looks at whether the long-term objective has been
achieved. In both cases, the explanatory factors influencing program success or failure
are ascertained.
Ex post and impact evaluation are undertaken to determine whether the program or
project merits expansion or replication in other areas. Knowledge of its success or
failure in areas where it has been fully implemented could provide directions for its
application in other areas or even its continuation in the current areas. T his type of
evaluation could also help ascertain what aspects of the program or project can be
modified to improve its replication in other areas.
Table 3-1 is a summary of the distinction of the different types of evaluation research.
Table 3-1. Types of evaluation research
Research Problem Research Purpose Types
1. To determine the potential 1. To ascertain whether pro- Ex ante evaluation

performance (Is it likely to gram/project is worth im- or feasibility study
succeed or fail?) plementing
2. To determine the factors that 2. To determine what aspects
may affect potential perform- of the program/project can
ance be modified to assure sue-
cessful implementation
1. To determine how the pro- 1. To determine what correc- In vivo or ongoing

gram/project is performing tive measures to apply to or process evaluation
2. To determine the factors that improve implementation
influence how it is being im- 2. To determine if the pro-
plemented gram/project should be
stopped or continued
1. To determine whether the pro- 1. To determine whether the Ex post or summative

gram/project succeeded or program/project merits ex- or impact evaluation
failed in accomplishing its pansion or replication in
mission (What is the effect other sites
or impact on target benefici- 2. To ascertain what aspects
aries and other groups of can be modified to improve
people?) implementation in other
2. To determine the factors that areas
led to success/failure
Source: Bautista 1987: 109.
Process evaluation looks into the relationship between inputs and outputs, particu
larly efficiency, productivity, profitability, and economy. Efficiency is often measured UP OPEN
by comparing actual accomplishments with the goals of the program. For instance, the UNIVERSITY
30 PM 299.2 RESEARCH AND PUBUC MANAGEMENT
efficiency of an immunization program can be assessed by examining the number of

children immunized in a given period vis-a-vis the number who were targeted for
immunization for the same period. The efficiency of a program is measured by the
ratio of the target beneficiaries covered to the target persons prioritized in a given area.
On the other hand, productivity centers on the ratio of output per particular input.
This is indicated, for instance, by the average number of poor families who were con
vinced to bring their children for immunization, per midwife. Here, the average out
put of this particular worker is considered and not the overall output of the program.
Economy refers to the reduction in cost in the d�livery of outputs. This could mean
finding ways to avoid waste of resources, and scanning which could offer low cost
inputs without sacrificing quality. For instance, beyond looking at the number of ben
eficiaries covered as an efficiency measure, the average cost of reaching the beneficiar
ies over a certain period can be determined.
The last measure, profitability, is determined by the monetary returns after the output
is delivered minus the costs involved in processing it. While generating income is not
a primary issue in service administration, public enterprises may use this as an indica
tor to ascertain whether there is cost recovery in the services being delivered to target
clientele. For example, are public hospitals able to generate income in order to sustain
their capacity to upgrade their equipment and facilities?
For each of these four indicators, success is indicated when the relative changes in
outputs versus inputs conform to one of the patterns summarized in Table 3-2 (for a
given time period).
Table 3-2. Indications of success for performance indicators
Input Output
Constant in amount Increases

Declines in amount Increases
Declines in amount Remains constant
Declines in amount Declines at a slower rate
These measures are quantitative in nature and fail to capture the dynamics or proc
esses involved in attaining the outputs. For example, a program may efficiently and
economically deliver services, but to the wrong people, or to the right people at the
wrong time.
Effectiveness is another indicator of performance. This goes beyond zeroing in on the

quantitative assessment of inputs and outputs. To look into effectiveness is to measure
the extent to which the objectives of the program or project are fulfilled. The quality of
UP OPEN the outputs del�vered is also measured, thus:
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Adequacy: Are the outputs enough to meet the needs of the beneficiaries?
Appropriateness: Are they relevant to those needs?
Timeliness: Are they delivered at the right time?
Progressiveness: Can the organization upgrade its outputs to meet changing
needs?
Equity: Is there provision to give priority to those who are depressed, deprived
and underserved?
Continuity: Can the organization sustain delivery of outputs or services?
Demeanor: Is the service delivered in an appropriate (e.g., courteous) way?
Answer SAQ 3-1 to find out if you are able to distinguish the different measures of
performance.
SAO 3-1
Identify the type of indicator (i.e., efficiency, productivity, economy, profitability,

and effectiveness) adopted to measure performance:
1. Average number of mothers' classes held per month by barangay health

workers
2. Average number of mothers convinced to adopt proper sanitation among

those who got involved in mothers' classes
3. Reduction in the cost involved in the conduct of a mother's class over time,
although the same number of participants were covered
4. Percentage of targeted mothers involved in mothers' classes last year.
5. Number of mothers satisfied with the performance of barangay health

workers as against those who were dissatisfied
6. Number of classes that were able to generate funds from the fees voluntarily
contributed by the mothers, excluding the costs involved in undertaking the
activity
See ASAQ 3-1 for the answers!

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ASAQ 3-1
1. Productivity - This looks at the output of BHWs.

2. Effectiveness- The measure focuses on the effect of the mothers' class.
3. Economy - This examines reduction in monetary cost.
4. Efficiency- This dwells on the overall output of the organization given some
standard (target beneficiaries).
5. Effectiveness - This also looks at the effect on the target beneficiaries
(based on their satisfaction). •
6. Profitability - The economic returns of the activity is the one tackled.
How did you do?

6 pts - Excellent!
5 pts. - Very Good!
4 pts. - Good.
3 pts - Fair.
0-2 pts - You have to review!
Evaluation research is conducted to help policy makers determine whether the pro
gram or project has attained or is able to attain its purpose. The research results or
findings will help them make a decision on whether or not a certain policy should be
implementated (in ex ante evaluation); whether a program or project policy should be
terminated because its initial consequences have not been positive; and whether the
program or project can be expanded or replicated in other areas.
Evaluation research also helps program or project managers determine bottlenecks or

problem areas in implementation. Administrators can determine what corrective meas
ures can be undertaken in order resolve these problems.
Service delivery persons may also be informed about areas for service improvement.
Of course, target beneficiaries also deserve to know a program's implications. Potential

beneficiaries deserve to know how a program has fared in other areas, and to be as
sured that problems have been addressed before the program is initiated in their locality.
There are other stakeholders who are not directly involved in the program but who
may find the study beneficial to them. For instance, another sponsoring institution
may not be directly engaged in supporting a community-based nutrition program.
However, it may be interested in the results of the study since a similar approach is
UP OPEN being considered by management.
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The role of the researcher in evaluation research is both empirical and normative. It is
empirical since data are collected to respond to the research problem. The information
gathered becomes the basis for defining concrete measures for responding to problems
in implementation identified in the research. A policy measure can also be identified
by the researcher on the basis of the effects experienced by the target beneficiaries and
other interested parties.
3.0 POLICY RESEARCH
3.1 CONTEXT
Policy research is inspired by the existence of a problem or issue that has to be ad
dressed by the formulation or reformulation of policy at some level of the governmen
tal hierarchy. One type of policy measure is the kind formulated by the political ma
chinery of the state at the local level (for example, the sanggunian) and the national
level (for example, the national legislature). The policy statements issued at these lev
els have a wider coverage.
Sometimes policies that primarily affect the formulating body itself, by influencing its
internal operations and processes, are formulated. For instance, at the Department of
Health, a directive was issued by then Secretary Juan Flavier to apply the primary
health care approach (PHC)-an approach which upholds a participatory and
intersectoral perspective-in the various programs of the department. An administra
tive order was issued to this effect.
However, not all problems are policy problems. And certainly not all require the con UP OPEN
duct of policy research. For instance, one of the policy options raised in the early years UNIVERSITY
of the Ramos administration was with respect to recentralization of health. However,

upon an examination of the justifications for this position, the focus shifted to correct
ing problems of administration, such as non-payment of salaries of workers, pay scales
of the health workers being higher in relation to those of local chief executives, etc.
The policy of devolution was no longer questioned. Thus, the recentralization option
did not require policy research. The more relevant type of research that was under
taken was operations research. Nevertheless, the dissatisfaction of local executives over
the pay rates of devolved health personnel could lead to a policy problem when vary
ing options regarding pay rates are considered to improve the morale of local execu
tives. This move would have implications for tl)e salary standardization law and may
be the subject of policy research.
Policy research is basically a study of policy options and their implications or conse
quences (both positive and negative). The stages of policy research are: (1) validation
of a problem that requires policy intervention; (2) understanding of past and current
policies to respond to the problem; (3) identification of policy options to address the
problem; and (4) detailing of the consequences of every option. Decisions will depend
on the balance sheet of advantages and disadvantages for every option identified.
For instance, the traffic jam in Metro Manila motivated various technical people from
the Metro Manila Development Authority to introduce the odd-even scheme. This
meant that on Mondays, Wednesdays, and Thursdays private vehicles with registra
tions ending in odd numbers could ply Epifania de los Santos Avenue. On Tuesdays,
Thursdays, and Saturdays, it was the turn of even-numbered vehicles. Vehicles with
three or more passengers were exempted. The dissatisfaction over the scheme expressed
by owners of private vehicles could convince academicians and practitioners to assess
this option further and determine other possible options that would satisfy this group
of stakeholders. The policy question could be: What are the implications of various
policy options for resolving the traffic situation in Metro Manila?
The scientific method must be followed in assessing the various options, although
additional techniques can be learned in the area of policy studies to supplement the
basic research methods.
The major unit of analysis or element about which data will be collected is the policy
option to be evaluated.
With this type of research, the groups or elements from which information could be
derived are not as specific as those in operations research. While gathering informa
tion about policy implications, you will find that various groups have a stake in the
policy. Stakeholders are persons or entities who have an interest in or who may be
affected by a particular policy. For instance, the stakeholders of the odd-even scheme
UP OPEN in traffic management in Metro Manila include the car owners who will be directly
UNIVERSITY affected, the public who use the area, the Metro Manila Development Authority which
will be implementing the policy, car dealers (as the demand for private cars may decline),
and public transportation managers (who may have to respond to an increased demand).
As in evaluation research, the stakeholders of a policy originate not only from the
organization that is directly responsible for implementing the policy. The stakeholders
come from various entities external to the organization.
Policy research is undertaken to help policy makers make a decisiqn toward the issu
ance of a policy directive or statement. Policy research is the scientific basis for formu
lating conclusions or recommendations regarding the policy options that will be up
held.
The researcher will have an empirical and normative role in the conduct of policy
research. By investigating the implications of various policy options, the researcher
fulfills his/her empirical role.
Like operations and evaluation researchers, a policy researcher assumes a normative

role as he/she can proceed to define what option can be accepted given the data on
positive and negative consequences of the policy alternatives studied. The researcher
can be an advocate for a particular option that is supported by empirical analysis. In
such cases, there is an objective basis for giving a recommendation.
Even prior to the conduct of research, the researcher must deal with normative issues.
What standards will be used in the assessment of the various options? These become
the starting point in the conduct of the research. For instance, in dealing with the
squatting problem, the policy options could be ejection, site development, and reloca
tion. As the consequences of each option is studied, various criteria are formulated.
These criteria may include the implications of each option for the squatters, the agency
that will implement the policy, and other residents. The inclusion of these criteria
indicates a value judgment since points of view are being considered in the evaluation.
However, the way the data is collected should not be affected by the sectors studied. A
distinction must be made between research method and the formulation of standards
of assessment.
4.0 DISCIPLINE RESEARCH
4.1 CONTEXT
Discipline research is not necessarily inspired by the existence of an actual or poten

tial practical problem. It may simply commence with an interest in explaining a given
phenomenon or event that is not yet fully understood. The goal may be to gain knowl UP OPEN
edge for its own sake, knowledge that may have no obvious practical implications for UNIVERSITY
policy or management. It is a study conducted in order to formulate a theory or build

on an existing one. This is why it is also called academic research.
For instance, the upsurge of lateral entrants to the bureau_cracy originating from aca
demic-research institutions, the private sector, and the military became pronounced
under the Marcos administration. This led to the introduction of the nomenclature of
technocrats in the bureaucracy. A number of researchers (for example, Romeo Ocampo
1970; Victoria Arcega 1972; Roman Dubsky 1981) were inspired to investigate the
characteristics of technocrats-where they originated, why they joined the bureauc
racy, and their contributions to the public administrative system.
The parameters for the conduct of discipline research are not as explicit as those for
operations, evaluation, and policy research. They may vary depending on the focus of
interest of the researcher. The question of interest may range from one that is perti
nent to a small social unit to one that covers an entire nation. For instance, the pur
pose of a discipline study could be to characterize the nature of NGOs that influence
governance in a particular barangay as well as national departments. A study of leader
ship may also start with a unit in an organization and go on to the top leadership (the
presidency) of the national government.
Thus, the unit of analysis in discipline research is not as restricted as in the previous
types of research discussed. It could range from one that is broad and general to one
that is extremely limited in scope. For instance, in the previous example, the social
unit in focus ranges from barangay to national offices.
The major purpose of discipline research is to generate concepts or to build theory.

The research need not have an immediate practical significance to practitioners or
decision makers, since it commences with an interest in understanding a given event.
Ultimately, however, understanding how an event occurs could have a practical impli
cation for decision makers. For instance, an understanding of where NGOs come from,
how they participate in governance, and the kinds of influence they have in decision
making could lead to the formulation of policies regarding what criteria to adopt in
order to enfranchise NGOs and identify the areas where they could participate in gov
ernance.
The role of the researcher is mainly empirical. As an academic exercise, the study
provides researchers and academicians with a better grasp of the event, helps in the
development of concepts and theory, and indicates directions for further research.
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Nevertheless, because public administration is an applied discipline, academics and/

or researchers are expected to articulate policy and management implications based
on their studies' findings. Recommendations for practical use may also be made by the
researcher.
5.0 INTERRELATIONSHIPS OF THESE TYPES OF RESEARCHES
On the whole, while I cite the conceptual differences among these types of research,
there is some degree of overlap between them. While a particular study is basically of
a certain type, it may at the same time incorporate features of anoth�r type.
For instance, an impact evaluation study may examine what a program or project has
done for a given group of beneficiaries after it has pulled out from an area. In addition,
it may also consider internal components that could help identify the critical features
of the program and its implementation, such as its leadership and compliance with
idealized approaches. In doing so, the research incorporates elements of operations
research, which may also help indicate what factors in the organization elicit a particu
lar type of reaction among beneficiaries.
Evaluation research, too, can be a contribution to policy research. Evaluation research

could be an input in arguing for or against a particular policy option or alternative.
T he findings of an evaluative study could support or rule out an alternative being
considered in a policy study.
Table 3-2 summarizes the discussion of the four types of research in public administra
tion.
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Table 3-2. Types of research in public administration
Types of Organizational Evaluation Policy Academic

Research Research Research Research Research
Context Organizational Performance/potential Policy problem Need to understand a

problem performance of programs/ particular administra
projects tive or policy issue
Research Questions 1. To study an organiza 1. To ascertain the 1. To validate a problem To gain knowledge
Raised tional problem performance/ requiring policy inter and to test/
2. To determine the potential performance vention formulate theory
factors related to the 2. To determine the factors 2. To determine the
organizational related to performance past/present policies
problem related to the problem
3. To test an option 3. To determine policy
to improve an opera alternatives and their
tional process consequences
Unit of Internal components Program/project (based Policy (based on a social Not as focused; may
Analysis of the organization on internal/external compo system affected by the be broad or limited
(i.e., inputs and. nents of program/project policy-i.e., family, organi
processes) management zation, political boundary,
etc.)
Purpose To help decision To help decision makers To assist policy makers To assist academics,
makers identify know how to deal with in the determination of researchers and
corrective program/project success/ options that will help in practitioners in
measures failure by: forming/modifying a developing concepts
1. determining whether it policy measure or theory
merits continuity/
termination/ expansion
2. determining what
corrective measures to
apply to improve imple
mentation
Concerns of the Empirical and normative Empirical and normative Empirical and Empirical
researcher normative
SAQ 3-2
Some students in PA 299.2 became interested in studying the rice program of the
government. The following are the specific problems some of these students se
lected and the purpose of the study. Identify the type of research (i.e., operations,
evaluation, policy, discipline) each pursued. Indicate whether the research approach
used is quantitative or qualitative.
1. To determine whether the program fulfilled its objective in im

proving the income level of farmers by studying sampled f�rm
ers from two barangays: one exposed to the progr�m and the
other without the benefit of this exposure. The study hopes to
ascertain whether the program merits expansion in other areas.
2. To document the procedures in granting loans to farmers and

find out what causes delays so that further improvements in
procedures can be made. Information will be based on the per
spective of key informants, who are mainly the persons in charge
of extending the loans to farmers and the leaders of the
Samahang Nayon.
3. To determine whether the educational attainment of sampled

farmers exposed to the program influences the adoption of the
package of technology in rice production. The study hopes to
find out what measures can be suggested in defining social mo
bilization strategies.
4. To analyze the implications of introducing three alternative strat

egies in implementing the rice program as a basis for legislation
in agricultural development based on a panel of sampled stake
holders from farmers' groups, academicians, and program
implementors.
5. To document the history, rationale, and processes applied in the

propagation of the rice program to understand the dynamics of
implementation of the program. Information will be obtained from
key informants and document analysis.
How did you fare? See ASAQ 3-2.
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ASAQ 3-2
1. Evaluation research since it aims to assess the impact of the project on

target beneficiaries. This is a quantitative study since farmer beneficiaries
are sampled and not identified mainly on the basis of who is knowledgeable
about a topic.
2. Operations research as it focuses on an internal component of the organiza

tion (procedures) and whether it creates bottlenecks. It is qualitative in
approach since key informants are to be inferviewed.
3. Evaluation research since factors are studied in relation to the utilization

behavior of the farmers (indicating the effect of the project). This is quanti
tative in approach because the information is to be drawn from sampled
farmers.
4. Policy research since the implications of various options are to be analyzed.

The approach is quantitative since stakeholders are sampled to obtain their
points of view.
5. Discipline research since the objective is to understand the history and

mechanics of operationalization of the program. This applies a qualitative
approach using documents and key informants.
SUMMARY
To recap, this module has focused on the different types of research in public adminis
tration. They have been distinguished according to how the research is initiated, the
type of research question normally raised, the unit of analysis or what is focused on in
the study, the purpose or contributions of the study, and the role of the researcher in
its implementation.
These are by no means the only types of research. However, they are the ones com
monly undertaken. This module has not been able to discuss participatory researches
and rapid appraisal techniques, which are forms of research that have emerged in re
sponse to the call for empowerment and the need to generate immediate information
on the basis of which decisions can be quickly made.
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REFERENCES
Arcega, Victoria
1976 Technocrats as Middlemen and their Networks in the Philippine Rice Project. PhD
Dissertation submitted to Michigan State University.
Anderson, James E.
1984 Public Policymaking: An Introduction. Boston: Houghton Mifflin.
Bautista, Victoria
1987 T he Steps in Conducting Evaluation Research. Philippine Journal of PublicAdministration.
XXXl, 1 (January), 107-125.
Dubsky, Roman
1981 Development and Technocratic T hought. PhD. dissertation submitted to the UP Col
lege of Public Administration.
Herrin, Alejandro N.
1987 Evaluating Development Projects: Principles and Applications. Pasig: National and Eco
nomic Development Authority.
Inayatullah
1980 Development of Monitoring and Evaluation System for Rural Development in Asia.
Monitoring and Evaluation of Rural Development: Some Asian Experiences. Ed. Kuldeep
Mathur and Inayatullah. Malaysia: Asian and Pacific Administrtion Center.
Nagel, Stuart
1975 Policy Studies and the Social Sciences. Massachusetts: Heath and Co.
Ocampo, Romeo
1970 Technocrats and Planning: Sketch and Exploration. Philippine Journal of Public Ad
ministration. 15 (January).
Richard, Levin
1982 Quantitative Approaches to Management. North Carolina: McGraw Hill.
Weiss, Carol
1972 Evaluation Research: Methods of Assessing Program Effectiveness. New Jersey: Prentice
Hall.
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ELEMENTS OF PROBLEM
FORMULATION
Dear Student,
Congratulations for having accomplished the first unit. You are now ready to proceed
to the first step of the research process. This is formulating the research problem and
the other elements of the statement of the problem.
This unit covers two modules. The first (Module 4) focuses on the statement of the
research problem and the different rules and requirements in this phase of the re
search. Take note of the possible types of research problems that can be raised. The
second module (Module 5) covers the various elements of the statement of the prob
lem. Note how each one can be formulated.
This unit is very important because you cannot proceed with the research process
without a statement of the research problem. It is necessary for you to practice formu
lating research problems by answering the SAQs. An important requirement, too, is
the formulation of a research problem for your own research proposal.
MODULE 4
STATEMENT
INTRODUCTION
A critical part in the research process is the statement of the problem. This directs
you to the kinds of data you need to gather as well as where and how you will
collect it.
This module focuses on the basic steps in formulating a statement of the problem.
It discusses:
what leads to its formulation;

guidelines in selecting the topic to be studied;
specific rules in formulating the research problem; and
the specific form of a statement of the problem.
Other important elements in the statement of the problem will be discussed in

subsequent modules.
The kinds of research questions raised are very important in the research process
as these direct the focus of the study. On the other hand, the overall approach or
perspective of the researcher will shape the scheme for gathering information.
OBJECTIVES
At the end of this module, you should be able to:
List the sources of and guidelines for choosing a research problem to focus
on;
Formulate a statement of the research problem;
Describe the types of research problem that could be possibly framed; and
Define the general approach that can be implemented in gathering informa
tion about a research problem.
1.0 CHOOSING A RESEARCH PROBLEM
There are many sources of research problems. First of all, a researcher could be di
rected by practitioners about what questions to raise, given gaps in the available in
formation or unresolved issues about a certain topic. For instance, researchers and
academics may choose to study issues regarding the implementation of the Social Re
form Agenda (SRA) under the Ramos administration. Objective data on these issues
may be required to guide policy makers. Practitioners in this area or field could indi
cate what has not been researched on (for example, to what extent do SRA areas com
ply with the strategies advocated to implement the programs that make up the SRA?).
A researcher can also choose to focus on a problem frequently talked about or aired
in the media. The problem may also personally affect the one who will undertake the
study. However, one should make sure that one's personal stake will not affect the
process of gathering information. For instance, the economic crisis has inspired some
students in my class in research methods to find 0ut the extent to which the expendi
ture pattern has affected government employees and the coping mechanisms they have
resorted to.
In Metro Manila, the proposed introduction of the odd-even scheme to reduce the
UP OPEN volume ofcars plying the city's major thoroughfares was lambasted in the media by
UNIVERSITY many sectors. The response to the scheme of various stakeholders became a research con-
ELEMENTS OF PROBLEM FORMULATION/ Research Problem 49
cern of some students in public administration. Their ultimate objective was to provide
concrete measures for improving the scheme or even preventing its passage altogether.
A common source of inspiration for conducting research is a hunch or gut feel. Lack
of information on a topic may motivate one to ask questions. Common sense could
direct one to raise issues, that could provide some insights on the possible research
areas that can be tackled. For instance, lack of information on how money is allocated
in the Poverty Alleviation Program for fifth and sixth class municipalities could push
one to try to understand how much money is being disbursed, on what criteria or
basis, and to whom.
Another source of research problems is a review of literature on the topic at hand. A

scanning of scientific investigations with an agenda for further research, could provide a
researcher some direction in defining the research problem. Some gaps in both theory and
facts may be indicated in academic literature and institutional documents and records.
One may also be guided by commitment or passion for particular topics. Some re
searchers, academicians, and practitioners manifest in their research work a sustained
interest in a given issue. Some academicians, in fact, are known for their expertise in a
given topic. In public administration, Leonor Briones is noted for her commitment to
continuously assess debt management. Ledivina Carino has a passion for voluntary
sector management. It is okay to do a study because you like or dislike something, for
as long as you can be objective in conducting the research.
Availability of funds is often a determining factor in the involvement of academic/

research institutions in research projects. Sponsoring institutions define the areas where
research can be undertaken. Often, the topic is matched with the area of expertise and
interest of the researcher.
The need or commitment of the agency one works for could also be a deciding factor.
One student in a class in public administration was inspired to study the computeriza
tion program at the Bureau of Customs, where he worked. He convinced his group
mates to pursue the study and they eventually focused on the impact of computeriza
tion on the processing of papers of incoming goods at the Port Area.
2.0 GUIDELINES IN THE SELECTION OF A RESEARCH PROBLEM
What can guide us in the determination of a research topic?
Foremost is the question: Is it worth doing? For any research undertaking, there should
always be an explanation of the contributions it can make to the existing body of knowl
edge on the topic. It could have an academic contribution i.1 that it clarifies a concept
or builds up theory. For instance, when the UP College of Public Administration made
a study of negative bureaucratic behavior, several typologies of corruption in the Phil
ippine setting were developed, such as tong, lagay, lakad, and areglo. The study dis
cussed the dynamics or processes of such typologies with the end in view of explaining UP OPEN
why they occur and how they can be addressed. UNIVERSITY
In considering whether or not a proposed study has a contribution to make, one would
do well to ask: Does the research have a practical use for policy makers, program man
agers, implementors, funding institutions, and/or the beneficiaries themselves? What
form will these contributions take?
Another important consideration in the selection of a research problem is its feasibil

ity. An aspect to consider is the time element. Can the study be conducted within the
time allowed by the funding agency, the academic institution (if it is an academic
.
exercise), or your own schedule?
Another aspect of feasibility is the monetary resources available for the research. Is
there enough funding for the kind of study you hope to undertake?
How about the personnel resources that need to be devoted to the topic that we
would like to study. Are they adequate, considering the magnitude or scope of the
research undertaking?
Another consideration is access to data. Can we gain information on the topic from
key informants or respondents of the study? Are secondary materials available? These
are important considerations. In the UP College of Public Administration study to
ascertain the magnitude of political corruption during the dictatorship, it was difficult
to gain access to data and convince key informants to disclose information. Thus, the
researchers decided to focus on bureaucratic transactions instead. We realized that we
were focusing only on "small-time" corruption. Nevertheless, some clients who were
willing to talk revealed that top leaders had formulated policies protecting the interest
of favored sectors. For instance, dilapidated taxicabs were banned from operating at
one time because the car industry had saturated the market with a new car model. On
the whole, however, the study of bureaucratic corruption was helpful in defining ways
or measures for the civil service to limit corruption, if not control it.
Another issue related to feasibility is the competence of the researcher to pursue a

particular topic. You are expected to study a topic within your line of expertise. Some
frameworks in your field of specialization can help you identify and shape your re
search problem.
Another very important issue is the measurability of the factors being studied. Are
there known tools of measurement that will enable you to focus on a particular vari
able? For instance, one of the groups enrolled in PA 299.2 became interested in deter
mining whether a strong political affiliation among masteral students of the College of
Public Administration could influence their perception of the qualities of presidential
aspirants. But "political affiliation" is difficult to assess since civil servants are not
formally invited to become party members. Thus, the variable was changed to party
identification, and this was measured in terms of the party the respondents wish to
support or personally identify with.
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ELEMENTS OF PROBLEM FORMULATION / Research Problem 51
Box 4-1 Guidelines for formulating the statement of the problem
1. Is it worth doing at the practical and theoretical level?

2. Is it feasible in terms of:
time
money
personnel
access to data
researcher's area of competence
3. Are the factors involved measurable?
3.0 HOW TO STATE THE RESEARCH PROBLEM
Here are some guidelines in formulating the research problem itself.
1. Be as specific as possible.
The time and place or the context where the study is being undertaken should be
stated. For instance, in Box 4-2, the research problems in the second column are more
specific than those in column 1. Compare them and be convinced that problem state
ments can be phrased in a more precise manner.
Box 4-2. Formulating a specific research problem
Too broadNague Precise
What is the effect ofthe family What is the effect ofthe family planning
planning program ofthe government? program on the knowledge, attitude, and
practice of family planning among married
couples of reproductive age?
What is the impact ofthe Light What is the impact of the LRT on the riding
Rail Transit (LRT) on the citizenry? public? What is the economic implication of
the LRT on business establishments within a
20-, 40- and 60-meter radius from the terminal?
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2. Raise a question that is ethically neutral.
This means that your problem statement avoids the use of the word should or ought.
For instance, we are not raising an ethically neutral question when we ask:
Should Charter Change be implemented during the term of President Ramos?
However, it is scientifically correct to ask the question:
What do masteral students of the UP College of Public Administration feel about

Charter Change? Are they in favor of or against its implementation during the
term of President Ramos?
Question 2 focuses on the views of a particular group regarding Charter Change which
could form the basis for recommendations about the same topic. Question 1 is more of
a question in a debate rather than in an empirical investigation.
Questions pertaining to the assessment of policy options that could lead to a choice of one
alternative over the other can also begin with an ethically neutral argument. For example:
What are the implications of policy options A, B, and C for squatters?
3. State the problem in a declarative or interrogative form.
An example of a declarative statement is:
The present work is a study of technocratic thought. It is an attempt to identify and

define technocratic thought as such, to describe and explain the emergence of the au
thority of this thought in the context of development, as well as to draw attention to the
changing nature of development. (Dubsky 1981: 1-2)
The following are examples of an interrogative statement, or a statement that raises a

question:
Is the Integrated Area Development approach an effective mechanism to coordinate

planning and implementation of development projects?
Is there any relationship between effective coordination with a project's pe,formance?

(Chandrachoti 1984: 4)
Does religiosity influence the performance of Examiners at the Bureau of Internal

Revenue? (Abdon 1997)
4.0 TYPES OF RESEARCH PROBLEM
UP OPEN The type of research problem is another factor that can influence the methodology of
UNIVERSITY the research. Will it be mainly descriptive, or explanatory, or both?
A descriptive research problem raises questions that aim to characterize the dy
namics or processes of particular events. A descriptive research may focus on a
quantification of the respondents' view of a given issue or topic. If this is the
thrust, it is a descriptive-quantitative research. A problem could also be descrip
tive-qualitative in thrust if the main concern of the researcher is to typify a proc
ess through collection of narrative data.
Can you say which of the following is descriptive quantitivative and descriptive-quali
tative? Check your answers against those in Box 4-3.
Research Questions Research Method/Appr�ach
IA. How do agrarian reform policies al This study made a content analysis of
locate or distribute resources in the sample policies (Operation Land Trans
rural sector along the criterion of so fer, Corporate Farming Program and
cial justice? (Catilo 1981) Masagana 99 Rice Production Program)
with focus on the extent to which they
allow the transfer of power bases
landownership and income-from the
landlords to the cultivators or tillers.
lB. What are the consequences of agrar This was derived from past investiga
ian reform policies on rural devel tions and summarized in this report.
opment? (Catilo 1981)
2. The research explores the nature of Twenty-four technocrats visible to

technocracy in the Philippines: both national and regional panels were
The circumstances under which assessed for their key roles in making
they originate; critical decisions in the conception of
The functions they perform and the agricultural program.
who defines them;
The social space in which they
operate and perform their func
tions;
The lifestyles they exhibit in the
context of their work, etc.
(Arcega 1976)
Box 4-3 Approaches to descriptive research exemplified
1. Catilo's study is descriptive-qualitative.

2. Arcega's study is descriptive-quantitative.
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UNIVERSITY
Explanatory questions, on the other hand, try to establish the relationship or causal
connection between two or more variables. Like descriptive studies, explanatory stud
ies may be pursued using quantitative or qualitative approaches.
Which of the two research questions below would you consider as explanatory-quanti
tative and explanatory qualitative? Check your answers against those in Box 4-4.
Research Questions Research Method/Approach
1. What is the relationship between This-is based on a sample survey of mar

Maranao Muslim religious beliefs ried ·couples of reproductive age in se
and their perceived family planning lected sites in Muslim Mindanao.
behavior? (Gura 1985)
2. What are the internal and external The dissertation applied the case study
factors that propelled the National approach [and used] secondary materi
Fisheries Research System to reor als and primary data from key inform
ganize? (Garcia 1995) ants.
Box 4-4. Approaches to explanatory research exemplified
1. Guro's study is a quantitative study.

2. Garcia's is a qualitative study.
Explanatory studies, especially those that establish the causal argument, have stiffer
requirements than studies that argue for a relationship between variables. The causal
argument traces the occurrence of a given event to the introduction of a given variable.
This requires the control of extraneous or unnecessary variables. For instance, to de
termine whether or not a program on family planning was responsible for shaping the
fertility behavior of a given group of married couples of reproductive age, many other
factors need to be controlled to ensure that they do not interfere with or influence the
fertility behavior of the couples targeted for the program.
The requirements for confirming cause-effect relationships will be discussed more

extensively as we prepare the different research designs.
Now, answer SAQ 4-1.
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SAO 4-1
Direction: Identify the type of research problem (descriptive or explanatory) and

the general approach (qualitative or quantitative) required by. the following re
search problems.
_____ 1. What is the extent of citizen participation in the implementa

tion of the Minimum Basic Needs Approach in pilot areas in
Mindanao? What is the nature of their involvement in the differ
ent phases of the management cycle of situation analysis, plan
ning, implementation, and monitoring and evaluatisn? The data
will be obtained mainly from interviews of implementors of the
approach in the pilot areas.
_____ 2. What socio-demographic characteristics of civil servants influ

ence the commission of corruption? Are there more males than
females engaged in corruptive activities? Is the civil servants'
position a determinant of corruptive behavior? The research ques
tions will be answered by obtaining information from completed
cases filed with the Sandiganbayan in the last two years.
_____ 3. What factors influence the citizens' involvement in community

activities in rural barangays in pilot areas in health care projects
mobilized by an NGO in three pilot barangays in Lanao del Norte?
Information will be obtained mainly from NGO community or
ganizers in each of the pilot sites.
_____ 4. What is the impact of using Filipino as a medium of instruction

on the overall performance of students enrolled in the introduc
tory course in public administration in the undergraduate pro
gram? This study will compare samples of students enrolled in
two sections of the introductory course taught in Filipino. Two
other courses taught in English will also be evaluated based on
the performance of the sampled students in these two classes on
the same subject.
ASAQ 4-1
aAq.Elquenb-AJOlEUEldx3 ·y
aAq.El�1enb-AJOlEU e1dx3 ·£
aA�lElqUEnb -J\JOlEUEldX3 ·z
aAq.el�1enb-aAqd�nsao · 1.
You deserve a medal if you got 3-4 items correctly!

ACTIVITY 4-1
1. Read the sample researches listed in Module 5 to get a feel of how research
problems are formulated.
2. Start to formulate a research problem. Make sure that you are complying
with the basic rules in the formulation of a research problem.
3. Identify the overall approach that you are going to pursue or which is
consistent with your statement of the problem.
SUMMARY
This module discussed various sources of research problems. These include: discus
sion with practitioners, a pressing problem, gut feel or hunch, review of literature,
commitment/interest of the researcher, availability of funds, and the needs of an agency
one one is working with or for.
In deciding on what research problem to work on, you must consider its practical and
theoretical contribution. There is also the issue of feasibility in terms of time, money,
personnel, access to data, measurability, and the personal competence of the researcher.
In stating the research problem, you must be specific about the time, context, and
frame of reference of the problem, and use an ethically neutral manner of stating it.
This module also discussed several types of research questions that can be formulated,
depending on the approach to be used, thus:
Table 4-1. Summary of types of research questions and approaches
lype ofResearch �----------A_pp

_ r_ oa
_ _ c_h______ _ ___
Question Qualitative Quantitative
Desc riptive More concerned with drawing Focused on quantifying the occur-
categories or patterns to sum- rence of certain events
marize the event
Explanatory
Relational Focuses on narrative statement Quantifies and applies inferential
of factors from key informants statistics to establish why a certain
to establish relationships event occurs among variables
Causal Focuses on narrative Requires relative care in control

statements to trace the cause ling extraneous variables to at
tribute occurrence of a given event
UP OPEN to a given independent variable
UNIVERSITY
ELEMENTS OF PROBLEM FORMULATION/ Research Problem 57
REFERENCES
Abdon, Nestor
1997 Religiosity and Performance at the Bureau of Customs. Dissertation proposal submit
ted to the UP College of Public Administration. Quezon City.
Arcega, Victoria
1976 Technocrats as Middlemen and Their Networks in the Philippine Program:
The Case of the Masagana 99. PhD dissertation submitted to the Michigan
State University. East Lansing, Michigan.
Chandrachoti, Channaronk
1984 IAD as Mechanism to Accelerate the Attainment of Development Goals: The
Case of the Cagayan Integrated Agricultural Development Project. PhD dis
sertation submitted to the UP College of Public Administration. Manila.
Dubsky, Roman
1981 Development and Technocratic Thought. PhD dissertation submitted to the
UP College of Public Administration. Manila.
Garcia Jr., Manuel
1995 Reorganization of the Philippine Fisheries Research Center. PhD dissertation
submitted to the UP College of Public Administration. Quezon City.
Guro, Nasroden
1985 A Study on the Relationship between Religious Beliefs and Family Planning
in the Philippines: Focus on the Maranao Muslims. PhD dissertation submit
ted to the UP College of Public Administration. Quezon City.
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MODULES
OTHER ELEMENTS IN THE STATEMENT

INTRODUCTION
This module discusses the different elements or components of the statement of

the research problem, such as the:
variables of the study,

hypothesis,
operational definitions/indicators,
assumptions,
review of literature,
significance of the study, and
theoretical framework.
Each element is discussed and some guidelines for their formulation as compo
nents of the statement of the research problem are provided.
OBJECTIVES
This module aims to help you:
Define each component or element of the statement of the research prob

lem;
Identify the various forms of each element; and
Formulate each element, given a particular research problem you will de
cide to focus on.
1.0 VARIABLES
1.1 DEFINITION
Variables are the factors that we focus on in a given study. In quantitative research,
they are the measurable aspects of a concept. For example, the level of people participation
can be measured by the number of activities community members are engaged in.
In qualitative study, the variable is the attribute observed or classified. In qualitatively

assessing the variable of participation, for instance, the nature of participation in deci
sion making in planning, implementation, and monitoring/evaluation of programs
and projects may be characterized. Instead of counting incidents or manifestations of
involvement, the specific types of ideas contributed by a respondent may be narrated
by the researcher.
As Kidder and Judd say (1986: 520), variables are the "concrete representation of an
abstract construct; a means of measuring a construct."
The variables of the study are indicated in the statement of the problem, but some
researchers prefer to itemize them separately, to make sure that they are explicitly
spelled out.
1.2 TYPES
In explanatory types of studies, it is important to differentiate the types of variables

that constitute a research problem and that may be embodied in a hypothesis. Vari
ables may be considered as independent or dependent. An independent variable is the
cause or the antecedent condition in a given problem statement. On the other hand,
the dependent variable is the assumed effect or consequence of the independent vari
able. In the following research problem, can you identify the independent and the
dependent variables?
What is the impact of devolution on the morale of devolved health workers?
The independent variable here is "devolution," while the dependent variable is "mo
rale."
In the second question below, what serves as the independent and dependent vari
ables? Check your answer against Box 5-1.
Are more males than females engaged in corruptive behavior?
Aside from the variables constituting the statement of the problem, there are other
variables that can affect the occurrence of the dependent variable. If they are held
constant in the study or are not allowed to vary, they are called control variables. For
instance, if you will recall the example I mentioned earlier regarding the influence of
UP OPEN sunlight on mongo seeds, I mentioned the need to control the size of the can, the type
UNIVERSITY of seed used, the amount of water, and the type of soil to be used for the two cans.
ELEMENTS OF PROBLEM FORMULATION/ Other Elements 61
In a research question assessing the impact of the use of Filipino as the mode of in
struction in training newly installed barangay officials, the control variable is the teach
ing of local development management. The variable that is manipulated is the me
dium of instruction, with one group exposed to Filipino as the medium while the
second group is introduced to the usual mode, English. If the subject matter is not
controlled, it might effect performance.
There are variables that may not be totally controlled. Therefore, they can affect the occur
rence of the dependent variable. For instance, in the example on the teaching of Filipino,
the effectiveness of the trainer may influence the performance of the barangay captains.
Other characteristics of participants may also be affected lik·e their aptitude or intellectual
ability. There are participants who are faster learners than others. Another could be gen
eral interest and prior preparation for Filipino. These factors could serve as extraneous or
confounding variables because they affect the dependent variable.
Box 5-1. Independent and dependent variables in example given
If you said sex is the independent variable and corruption is the dependent
variable, you are absolutely right.
2 .0 HYPOTHESIS
2.1 DEFINITION
Another component of the research problem, particularly of explanatory types of stud

ies especially of the quantitative variety, is the hypothesis (or hypotheses, if they are
many). The hypothesis is a tentative statement of what we expect to find in the course
of research. It is an argument of what will occur and which will then be subjected to
validation in our observations.
A hypothesis may be explicitly stated. Or it may be incorporated in a theoretical frame

work. In formal research, such as in dissertations or theses of graduate students, the
hypothesis is usually indicated separately. However, in consultancy research, the hy
pothesis may be tucked into the theoretical framework.
2.2 STATEMENT OF THE HYPOTHESIS
There are many ways of stating a hypothesis. One is to argue in the null form-as is
normally done in a statistical process. This means the argument is that no relationship
exists between two variables. For instance, if age and knowledge, attitude, and practice
(KAP) scores in family planning are being related, the null form of the hypothesis
would read as:
There is no relationship between age and KAP scores on family planning among mar UP OPEN
ried couples of reproductive age (M CRA). UNIVERSITY
The hypothesis can also be expressed in the alternative form. This statement is made
by arguing the existence of a relationship. It may be stated in a non-directional form
i.e., the relationship is posited but the pattern is not indicated. Thus, on the issue of
age and KAP, the statement could be made as follows:
There is a relationship between age and KAP scores onfamily planning among M CRAs.
or
Age and KAP scores among MCRAs are related.
A hypothesis can also indicate a directional patterp. One mode is to show a positive or
direct argument, especially if we are dealing with variables that can be scored. This
means that an increase in the independent variable will correspondingly lead to an
increase in the dependent variable. Or a decrease in the independent variable will lead
to a corresponding decline in the dependent variable. Thus, given the example on age
and KAP, a direct or positive argument could read:
There is a positive relationship between age and KAP scores among MCRAs. More
specifically, the older M CRAs will have higher KAP scores than younger MCRAs.
On the other hand, an inverse or indirect argument posits that with an increase in the
independent variable, there will be a corresponding decline in the dependent variable.
Contrariwise, with a decline in the independent variable, there will be an increase in
the dependent variable.
Younger MCRAs will have higher KAP scores than older MCRAs.
or
There is an inverse relationship between age and KAP scores.
When we are dealing with variables that are not scored but distinguished only accord
ing to qualitative categories (such as male or female to depict sex, and being in favor or
not in favor to show attitude to family planning), a directional hypothesis can simply
indicate what categories in the independent variable will manifest what type or cat
egory of the dependent variable. For instance, if sex and attitude to family planning
are being related, a directional hypothesis could read:
More males than females favor family planning.

or
More females than males favor family planning.
In statistical arguments the hypothesis statement starts with the null argument. How
ever, in the narrative section of the research, arguing for the alternative pattern is
encouraged since the rationale for a proposed pattern needs to be explained.
2.3 THE WELL-STATED HYPOTHESIS
UP OPEN One of the characteristics of a good hypothesis is its linkage to theory. When a hypoth
UNIVERSITY esis statement is made, the reason why a given pattern is proposed should be given.
The rationale for the argument gives meaning to the relationship being posited. The
justification provided for the linkage is the contribution of a hypothesis to theory. The
rationale for the relationship gives meaning to the pattern being established. This is
normally embodied in the theoretical framework. In the hypothesis relating age and
KAP scores, I would have argued:
There is an inverse relationship between age and KAP scores because the younger ones
are more open to new modes of controlling family size.
Another set of relationship is one that posits the influence of the type of agency a
government office is (categorized into revenue raising, spending, o(regulatory) and
the magnitude of corruption committed. It can be theorized that:
The magnitude of corruption is most prominent or highest among revenue raising insti
tutions because of the opportunity of the civil servants there to engage in negative bu
reaucratic behavior.
A second guideline in the formulation of a hypothesis is the rule that a statement of

hypothesis be free of moral or ethical judgements. In the formulation of a hypothesis,
therefore, the use of the word "should" or "ought" is not acceptable. There is a similar
rule for the statement of the problem. For instance, the following hypothesis violates
this basic principle of hypothesis formulation.
Among M CRAs, more males than females should express a favorable attitude family
planning.
The example indicates what the researcher thinks is the morally correct position and
violates the requirement that the purpose of the research is to raise an ethically neutral
argument. It embodies a value judgement. The example can be restated in an ethically
neutral manner, thus:
More males than females express a favorable attitude to family planning.
3.0 OPERATIONAL DEFINITIONS
3.1 DEFINITION
While formulating a hypothesis, we should already have in mind the operational defi
nitions of the variables. How the hypothesis is stated depends on how the variables are
measured. In other words, a very important component or aspect of the statement of
the problem is a section that dwells on operational definitions.
An operational definitions indicates the activities or procedures undertaken to meas

ure a variable, especially if it is going to be scored. It may indicate from whom the
information is collected. In instances where measures focus mainly on qualitative char
acterization of the variable rather than on scoring its incidence, categories for classify UP OPEN
ing observations may be formulated and embodied in the operational definitions. UNIVERSITY
For instance, for a variable like citizen participation in governance, one operational
definition would be "total number of activities in the community a respondent (who
could be the head of the family) is engaged in for a given period (let us say, year 1996)."
This is a variable that can be scored. But it can be made simpler by mere assessment of
"whether or not heads of families are engaged in community activities in 1996."
With an operational definition, the researcher is able to define the ways by which a
given variable will be measured and determine the tools for analysis that will be adopted
later to process the data gathered from the field.
Make sure that you do not confuse a conceptual definition with an operational defini
tion. These are two different elements that should be distinguished from each other.
For methodological purposes, operational definitions provide specific guidelines to
assess the variable or concept at hand. On the other hand, a concept is an abstract
representation of a phenomenon.
In the following examples, can you distinguish the conceptual definition from the
operational definition? Check your answers against Box 5-2.
Example 1:
"Effect of family planning program" refers to the impact of family planning on tar
geted MCRAs.
Example 2:
"Effect of family planning program" is based on the change in number of children
couples desire to have before the program was introduced and at present.
Box 5-2 Conceptual or operational?
1. conceptual
2. operational
3.2 LEVEL OF MEASUREMENT
In operational definitions it is important to distinguish the different levels or scales

for measuring a variable because the level of measurement will influence the specific
tools for analysis. If you will recall, PM 299.1 discusses the tools for analysis.
There are four levels of measurement in studying a variable. The most basic level is
the nominal. To measure a variable at the nominal level is to focus on its qualitative
characteristics. Categories under which the elements being observed will be classified,
are formulated. For instance, a variable like gender is always a nominal variable in
public administration. The respondents are categorized simply as males or females.
UP OPEN However, in the field of psychology, the level of masculinity or femininity could be
UNIVERSITY further ascertained and the variable "gender" involves a higher level of measurement.
Religion may also be treated as a nominal variable. It may be operationally defined in

different ways, depending on how the researcher would like to classify the information
that will be gathered from respondents. An operational definition for religion may be:
Example 1:
Religion is based on the respondents' affiliation with any one of the following religious
denominations:
Catholic
Muslim
Protestant
Aglipay
Others
Example 2:
Religion is based on the respondents' affiliation with any one of the following religious
denominations:
Christian
Non-Christian
Others
Another level of measurement is ordinal. This is a higher level than the nominal scale
of measurement because it not only classifies the elements studied but also attempts to
determine which are higher or lower in manifesting an attribute or characteristic,
through ranking. For instance, the variable "openness of leaders to participatory deci
sion making" can be classified into categories like participatory or non-participatory
and ranked from most to least open from the point of view of sampled staff members.
If there are five bureau heads being assessed by employees for their participatory na
ture, the respondents may be asked to rank the five from most to least, thus:
Leaders Categories Rank
Leader A Yes 3
Leader B No 1
Leader C Yes 2
Leader D Yes 5
Leader E Yes 4
This example gives you a better idea of who among the leaders manifest more partici
patory decision making. The assessment made does not provide an actual score or
value to the magnitude of openness to participation of the leaders studied. Neverthe
less, it is an improvement over the nominal level where the presence or absence of the
attribute is the only category presented.
Still another level of measurement is the interval scale where scores are assigned to
enable quantification of the attribute assessed. However, this may be formulated in an UP OPEN
arbitrary manner by the researcher. For instance, in the previous example, instead of UNIVERSITY
ranking leaders according to their manifestation of a participatory character, a scale

could be formulated to depict where each one would fall, giving an actual value of the
scale position of each leader.
For instance, in a scale position of Oto 5 where Ois indicated as "none at all", 1 is "very
little", 2 is "little", 3 is "occasionally", 4 is "much", and 5 is "very much", the leaders
are given scores in terms of the character of their decision making. This is a refine
ment of the ranking scheme adopted in the previous example. An interval scale rating
for the previous case may go this way:
Leaders Categories Rank Interval Scale Rating
Leader A Yes 3 2.5

Leader B No 1 0
Leader C Yes 2 1.0
Leader D Yes 5 4.5
Leader E Yes 4 3.5
The advantage of interval scaling is that the researcher can specify the exact number of
units involved in the differentiation, instead of just relying on the qualitative distinc
tion of who has more or less of the attribute.
Another level of measurement is the fixed ratio scale. This enables the researcher to
score the magnitude of manifestation of a given attribute, similar to interval scale,
exceptthat the assessment is based on standardized zero point. For instance, instead of
assigning arbitrary scores to the participatory character of a leader's decision making,
the researcher can focus on policy decisions and the opportunity given to staff mem
bers to be involved. For instance, if there were 20 policy issues raised in a year, the
number of times staff members participated in deciding these issues could be the basis
for assessing the participatory nature of the leader. In other words, differentiation might
be as follows:
Leaders Nominal scale Ordinal scale Interval scale Fixed rate scale
(whether or not (how each leader (assess each leader (no. of policies
leader encourage is ranked in in a scale of 0-5) on which staff
participation) relation to others) members got
involved in deci-
sion making)
Leader A Yes 3 2.5 5

Leader B No 1 0 0
Leader C Yes 2 1.0 4
Leader D Yes 5 4.5 16
Leader E Yes 4 3.5 10
The particular measure to be adopted will determine what type of statistical tool that
UP OPEN can be applied in analyzing data. The researcher must be aware of the implications of
UNIVERSITY the choice he/she makes in the formulation of operational definitions.
4.0 INDICATORS
When variables are complex and cannot be adequately measured by just one opera
tional definition, indicators are formulated. Indicators are attributes or properties that
characterize a complex variable. Normally, each property requires an operational defi
nition. For instance, in a study conducted by Bautista (1996: 7) on Partnership for
Community Health Development (PCHD), a program that subscribes to the imple
mentation of a participatory approach through the mobilization effort of
nongovernment organizations, one of the critical variables was "impact of the pro
gram". This was based on three indicators, namely: reduction in morbidity, cleanli
ness of surrounding areas, and sustainability plans.
In an earlier study also conducted by Bautista (1989: 167-169) on the role of govern
ment in advocating participatory approach in health management or the primary health
care (PHC) approach, the effect on health practices was assessed and this was indicated
by such factors as: health resources and general health practices, nutrition practices,
health practices for children, and family planning practices. See Box 5-3 for a more
detailed discussion of the operational definitions and indicators cited here.
Box 5-3. Sample indicators and operational definitions (from Bautista 1996)
"Impact of PHC" is based on:
a. Number of diseases reduced per barangay from pre- to post-PCHD

b. Cleanliness rating based on the observation of researchers of the areas stud
ied and scored as 0-unclean; I-partly clean; and 2-clean.
c. The existence of sustainability plans, scored as follows:
Infrastructure facilities 1 pt.

Livelihood 2 pts.
Linkage 3 pts.
Training/capability building 4 pts.
Resource generation/mobilization 5 pts.
"Health practices" is assessed according to the following composite of factors,

with each indicated by a set of items and scored differentially, thus (Bautista
1989):
1. Health resources and general health practices
Ownership of toilet
Yes 1
No 0
UP OPEN
UNIVERSITY
Type of toilet used (whether in one's house or neighbor's house

Flushed/water sealed 3
Antipolo 2
Open pit/open space 1
Manner of disposing of garbage
Burned/composted 2
Collected/dumped in specified place 1
Dumped near one's yard 0
Manner of maintaining animals, if any
All/some fenced or caged 3
All/some are tied 2
Free to roam around in the yard 1
Free to roam around in the house 0
Existence of fence around the house
Yes 1
No 0
Existence of food-bearing plants in the yard
Yes 1
No 0
Availability of medicinal plants in the yard
> Yes 1
> No 0
Presence of stagnant water in the yard
No 1
�s 0
Presence of animal waste and/or garbage in the yard
No 1
Yes 0
2. Nutrition
Number of meals eaten daily

Three 3
Two 2
One 1
Food eaten for breakfast
Combination of cereal, protein and fruit 3
Combination of cereal and protein 2
Combination of cereal and fruit 2
Any one of the above taken singly 1
Beverage combined with milk 1
Food taken for lunch and supper
Cereal, protein, vegetables and fruit 4
Cereal, protein and vegetables 3
UP OPEN
UNIVERSITY
ELEMENTS OF PROBLEM FORMULATION / Other Elements 69
Cereal, protein and fruit 3

Cereal and protein 2
Cereals and vegetables 2
Cereal and fruit 2
Any food group taken singly 1
3. Health practices for children
Type of milk given or preferred to be given to babies

Breastmilk 2
Other milk 1
Milk considered to be best for babies
Breastmilk 2
Other milk 1
Immunization given to those with children who are 3 and above
Complete immunization for all 2
Gave at least one to all or some 1
No one was given 0
To those without babies: Would they have/had their children
immunized, if they had any?
�s 1
No 0
4. Family planning practices
Currently practicing/practiced/would likely practice

Yes 1
No 0
Method preferred
Ligation/vasectomy 3
Pills/IUD 2
Rhythm/condom/withdrawal/abstinence/foam 1
None 0
Another concrete example is the measurement of quality of life. Since the publication
of the global Human Development Report (HDR) annually since 1990, the Philippines
has joined other countries in applying the human development index (HDI) as a meas
ure of quality of life. This was made possible through the initiative of the Human
Development Network (HDN), a nongovernment organization composed of academi
cians, researchers, and practitioners. HDN has replicated the application of the indi
ces and operational definition of quality of life through the first and second issues of
the Philippine Human Development Report (PHDR). The indicators of human develop UP OPEN
ment as a measure of quality of life include: longevity, knowledge, and income. The UNIVERSITY
official definition of the human development index as applied by UNDP is:
...composite measure of human development containing indicators represent

ing three equally weighted dimensions of human development-longevity (life
expectancy at birth), knowledge (adult literacy and mean years of schooling),
and income (purchasing power parity dollars per capita) (UNDP 1994: 220).
A separate technical note at the end of the Human Development Report (UNDP: 1994
108) discusses the procedures for measuring HDI. On the whole, the resulting values
could range from O to 1, with the highest value depicting high human development.
Countries are divided into high, medium, and low, based on the cut-off marks of their
HDI. The Philippines has consistently rated medium in HDI since 1990.
PHDR provides a separate technical note to reflect its own assumptions in the compu
tation. The latest PHDR (1997) differs slightly from international practice because it
uses functional literacy as the indicator instead of adult literacy and total enrollment.
5.0 ASSUMPTIONS
One of the elements in the statement of the problem is the statement of assumptions.
Assumptions are often confused with hypotheses. Assumptions are propositions about
reality that are not researched on and instead serve as a given in the research investiga
tion. Like hypotheses, assumptions are propositions about a certain phenomenon or
event. But unlike hypotheses, assumptions need not be proven anymore. They are
considered to be a given, and the hypotheses are based on them.
Sometimes, assumptions are not discussed separately. They could be woven into the
justification or backgrounder on why a given topic is the focus of a research undertak
ing. For instance, in the study assessing the effectiveness of Primary Health Care Strat
egy by Bautista (1979: 142), it was argued that:
Primary Health Care (PHC) is one of the innovative strategies introduced under the
Marcos Regime that is still being carried out under the Aquino administration. PHC
merits attention as it recognizes the importance of both participatory and integrated
strategies in planning and implementing health care activities.
The proposition that PHC is an innovative strategy is the assumption or basis for
focusing on the research topic.
Catilo (1981) focused on agrarian reform policies in her study on social justice. She
argued that:
. . . such policies comprise the bulk of the population in the Philippines and in other
developing countries. Moreove1; this majority suffers the problems of poverty, unem
ployment and inequalities more than their urban counterparts. They also have prob
UP OPEN lems unique to them such as competition for land and landlessness (Catilo 1981: 2).
UNIVERSITY
Catilo assumes that agrarian reform policy is important because the majority of the
population is affected by it. This is not yet her research problem. It is merely the
proposition upon which she bases her research problem.
6.0 REVIEW OF LITERATURE
The review ofliterature is an important component in the preparation ofthe proposal

and of the research report. The review ofliterature can be considered as:
· an important process in shaping the proposal, and

· as an aspect or part of the research report.
In public administration, a literature review includes not only academic papers but also
laws, policies, and agency documents. Academic papers provide analytical assessments of
how programs, projects, or policies are implemented. These documents also show the
theoretical relevance ofparticular experiences in public management. Policy statements,
on the other hand, show the standard or bases against which assessments may be made.
They provide the context within which public administrative systems are expected to
operate. Other documents and records may contain information on actual performance.
6.1 A PROCESS IN SHAPING THE PROPOSAL
The review ofliterature helps shape the proposal in that previous or earlier researches
or academic papers can help in the identification ofa research problem. Prior researches
can provide important leads to help a researcher determine his/her topic of inquiry.
The work of other researchers may point to some gaps in data, which may serve as the
starting point in the framing of a research proposal.
The review of literature may also help shape one's theoretical framework. Arguments
or justifications ofearlier studies can provide guides or hints on possible explanations
that may be made in determining patterns ofrelationships. Will one follow the same
argument to justify why some variables are positively or inversely related? Or will one
follow a tack different from that ofearlier arguments made by past investigators? These
are some of the issues a researcher deals with.
Earlier investigations also provide important leads regarding the methodological ap
proach to be used in conducting an investigation. The techniques of data collection
and analysis applied in the past may serve as the starting point in a researcher's re
search methodology. The researcher may duplicate or refine tools or techniques ap
plied in previous studies. For instance, in the preparation ofthe PHDR, slight modifica
tions ofinternational HDI estimates were made. Earlier investigators may indicate meth
ods that were not helpful to them and therefore should not be duplicated by the researcher.
6.2 AS AN ASPECT IN THE REPORT
The review of literature is also a part of the research report. The review of literature UP OPEN
section details what previous investigations have proven and how one's research would UNIVERSITY
fit in the body of works on the subject matter-i.e., how it differs from or relates with
past efforts. One's research could duplicate the methodology ofprevious investigation
but focus on different areas. This way, generalizations can be expanded since the focus
of analysis is broader than those ofearlier investigations.
Or one's research can focus on an entirely new topic. For instance, instead of focusing
on bureaucratic corruption, which is a topic commonly dealt with by UP College of
Public Administration-based scholars, a study may focus on political corruption. The
latter would entail understanding the processes and dynamics involved in shaping
policies and whether or not stakeholders resort tO:extra-legal means to influence policy
makers.
Previous research may indicate unanticipated consequences, which can then be vali
dated in one's own investigation.
As a section in the research report, the review ofliterature highlights major findings of
studies to help define the field or state-of- the-art on the topic that one intends to focus
on.
In making the review ofliterature, it is important to clarify what topics to focus on and
how far back one will go.
You should definitely include studies on variables related to the study. The materials
can be sorted according to factors to be studied. See Box 5-4 for a guide to how topics
for a review ofliterature may be classified. Integrate related ideas instead ofdiscussing
them one at a time. It is very tedious to read a list of studies that does not show how
they cohere or differ from each other. Similar arguments can be presented consecu
tively and those that differ from the common patterns, if any.
Box 5-4. Sorting topics for a Review of Literature
A study undertaken by Bautista on Primary Health Care (Bautista 1988: 8)

focused on:
an assessment ofPHC's effectiveness in improving the health status of
the community
the factors affecting its effectiveness
the dynamics involved in the implementation of PHC at the lowest
level ofthe barangay, the nature ofactivities undertaken through PHC,
and the characteristics of the participatory strategies undertaken
through PHC
the particular institutions that coordinate(d) with the lead agency
(DOH) in implementing PHC, their level ofinvolvement (both public
and private)
the profile ofthe voluntary health workers (the Barangay Health Work
ers) and how they perform their functions
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The review of literature revolved around such areas as:

the role of PHC as a strategy in effective service delivery
a comparison of the performance of government and private-sponsored
PHC
the factors affecting the effective implementation of PHC and other
issues or dilemmas surrounding PHC implementation.
It helps to set a cut-off date or period. However, if it is necessary to trace the historical
growth of the idea, state-of-the-art reviews can be a helpful source of the highlights of
what transpired in the past.
In reviewing related literature, you need not focus narrowly on the variables of your
study. Investigate related topics for relevant studies. In a study of agrarian reform, for
example, you may examine materials under topics like: agriculture, social develop
ment, and social justice.
6.3 DOCUMENTATION OF IDEAS
Document the ideas you borrow from other sources. Some students (and even faculty
members and staff) have been expelled from the University for having plagiarized the
scholarly work of others. That is, they knowingly copied ideas but passed these off as
their own. Remember that it is more honorable to acknowledge the origin of your
ideas. Science is all about building on the ideas and thoughts of those who have come
before you.
There are different ways of documenting ideas. One is to copy in toto some quotable
passages. These can be quoted in text. But if the material to be quoted runs several
lines (say, more than three lines), then it can be set off. In the citation, cite the exact
page where the direct quote was taken.
Another option is to summarize or abstract the basic arguments of the source. This
can be done especially if the original material is lengthy and the researcher prefers to
simplify it or include only the main points. In other words, the material is presented in
the style and language of the researcher. The advantage of summarizing is that it ena
bles the researcher to analyze or interpret the material.
The following text shows how to document material from one's sources:
On the part of the Barangay Health Workers, it has been a common concern to
make them attuned to the process of "community organizing" (Alfiler 1982a:
89; Cari(o 1986: 79; Okamura 1969b: 226) rather than delivering results for
health only. The task of the BHWs is not mainly that of a service delivery
person. The BHWs' role is not only to "lighten the work" of the midwives but
to act as "community health sentinels" (Torres 1986: 228). Their role is also to UP OPEN
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be able to facilitate for the community in identifying, in a concerted manner,

their needs and demands and to work on ways to respond to these demands.
The problem is that some projects implementing the PHC strategy fail to ex
tend to the BHWs enough flexibility to modify their approaches (Guerrero
and Jurado, 1983: 171). They are not adequately prepared or provided the cli
mate to adopt a "self-correcting" process (Alfiler 1982a: 85) which will enable
them to modify approaches that do not work out well.
Other overriding issues raised in different papers (Alfiler 1982a; Cari(o 1986;
Okamura 1986b; J. Tan 1986) are: how the BH:W's efforts and commitments
may be sustained, what incentives can be provided to prevent them from drop
ping out and should BHWs be paid at all. Another important question is: If
PHC encourages that health be woven into the socioeconomic development of
the community, should a voluntary worker be better off as a multi-purpose
worker rather than as a health worker? (Excerpts from Bautista 1988: 25-26)
Another mode of documentation is to paraphrase what the author said in the material
being referred to. To paraphrase is to say in your own words what your source is say
ing, without summarizing or excluding details. Thus, a paraphrase is more detailed
than an abstract or summary. However, unlike copying materials in toto, the material is
presented using the language and style of the investigator.
Box 5-5. How to document
copy in toto/quote
summarize/abstract
paraphrase
6.4 SELECTING A METHOD OF ACKNOWLEDGING YOUR SOURCES
Make sure that you identify the bibliographical notations you will adopt in presenting
your review of literature. If you are not yet comfortable with any method, you might
consider the documentation style of the Philippine Journal of Public Administration
(PJPA). This is the style I use in this module. (See the References after each module).
Its characteristics are:
1. In the body of the paper, sources of information (books, articles from journals/
book of readings and public documents) are acknowledged thus:
Author
Year of publication
UP OPEN Date of publication
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Citations in the text may be presented in different forms. For summaries, abstracts
and paraphrases, the notation may be made as follows:
a. Citing the family name of the author/institution in the statement, thus:
With respect to the concept of political adaptation, Christopher Hood offers an analyti
cal framework to examine how the civil service handles change. In rhe words of Hood
(1986: 142), adaptation can be defined as "the ability to spot material changes in
circumstances, and the capacity and disposition to respond appropriately to those
changes."
b. Citing the family name of the author/institution in parentheses:
Adaptation of the civil service to changes is absolutely essential to maintain a respon

sive administration and to provide updated services for the community. This applies to
both developed and developing societies for the goal of public administration is to for
mulate effective policies and to render efficient implementation of policies (Rosenbloom
1989; Peters 1989)
Note that there are no specific pages mentioned here. It is possible that the
argument made dominates the entire material cited.
c. Indenting lengthy direct quotes
The MTPDP has distinguished NGOs from POs when it defined NGOs as:
...non-profit, voluntary organizations that are committed to the task of socio-economic

developments and established primarily for service. Such service may involve assisting
citizens or people's organizations in various ways by educating, training or giving
financial assistance to them (MTPDP 1993).
d. Putting a, b, etc. after the year, for sources with the same author published in
the same year
A major concern in promoting participation among the community residents is the

adequacy of their social preparation to engage and manage community activities in a
self-reliant manner (A/filer 1982a, 1982b; ....)
2. References are cited at the end of the report or by chapter, if they are long. Materi
als are arranged in alphabetical order
(Article in a book)
Abad, Florencio
1993 People's Participation in Governance: Limits and Possibilities-T he Philip
pine Case (From an NGO Perspective). In Ed Garcia, Julio Macuja and
Benjamin Tolosa, eds. Participation in Government: The People's Right. Quezon UP OPEN
City: Ateneo de Manila Unviersity Press. UNIVERSITY
(Paper presented in a conference)
Alfiler, Ma Concepcion P.
1982a Primary Health Care and Related Approaches: A Review of Philippine Re
searches and Experiences. Paper prepared for the University of the Philip
pines Management Education Council Seminar Workshop on Administra
tion of Health Services: Focus on Primary Health Care, held at Asian Insti
tute of Tourism, March 5 & 6.
(Paper presented in the same year, monograph)
1982b Comparative Case Studies of Community-based Projects in Health and Fam

ily Planning: An Integrating Report. Manila: UP College of Public Admin
istration.
(Public documents)
Commission on Audit
1986 State Audit Manual. Quezon City: COA.
(Article in a journal)
Creencia, Flerida
1994 The Accountability of NGOs. Philippine Journal of Public Administration.
XXXVIII, 3 (July).
(Book)
Hood, Christopher
1986 Administrative Analysis. Sussex: Wheatsheaf Books.
Endnotes may be incorporated in the report if the researcher wants to make additional
comments. This may be marked in the text with a detailed discussion on the part cited
at the end of the chapter or the report. This may cover additional remarks to help
elucidate a point but which need not be included in the body of the report.
For example, in Romeo B. Ocampo'as article, "Toward a Review of Research and Knowl
edge in Philippine Public Administration," he wrote:
This article is both an ambitious project and a modest effort. It attempts to provide a
framework for reviewing scholarly research and knowledge about Philippine public
administration during the last three decades. It does not review extant literature ....
Even so, not all of the views expressed in this paper are those of the author. Needless to
UP OPEN say, neither the College nor the author claims any monopoly of research, let alone
UNIVERSITY knowledge, of public administration in the Philippines. 1
ENDNOTES
1
Established in 1952 as the Institute of Public Administration, the CPA had a good
headstart in the Philippine and the Asian region. Many other schools or programs of
Pu�lic Administration have since been put up in public and private universities in
the Philippines and the region.
7 .0 SIGNIFICANCE OF THE STUDY
One of the components or aspects of the statement of the problem i(an indication of
the significance of or rationale for undertaking the study.
There are two broad arguments for conducting a research. One is theoretical or aca
demic. This is related to the firming up or understanding of a given concept or con
cepts, such as technocracy, the nature and character of political corruption, the charac
ter or dynamics of globalization, and so forth. The academic exercise may also include
an exploration of the reasons why such phenomenon occurs or factors related to it, not
necessarily to consider it as a cause but simply to describe peculiar characteristics
related to its occurrence. For instance, by tracing the relationship between types of
corruption committed and the particular function of agencies bureaucrats are affili
ated with, we begin to expand understanding of corruption. Thus, tracing intercon
nections of variables contribute not only to concept building but also theory building.
However, when the practical significance or implication of a research is underscored,

as in the case of most applied research in public administration, then the research is
not merely an academic exercise.
In operations research, the practical implication is the identification of specific com

ponents (inputs and approaches or strategies) that can be corrected to improve the
flow of work in the organization. The organization as a whole and the program manag
ers may be apprised of areas of improvement indicated by the assessment.
In the case of evaluation research, many stakeholders may be benefited by the study,
such as the policy makers who may be guided on whether or not the program or project
assessed can be continued or even expanded. Program implementors may also be ap
prised about bottlenecks in implementation. Corrective measures can be carried out, if
there is still time to do so, especially if the assessment is made before and during
implementation phases. Target beneficiaries may also be interested in the effects expe
rienced by those included in the study so they will know how they can resist the im
plementation of a similar project. On the other hand, positive results can inspire them
to consider adapting the program or project.
A separate discussion of the contributions of the study is normally included as a fea

ture of a research proposal, and ultimately, the research report.
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8.0 THEORETICAL FRAMEWORK
The theoretical framework is one of the components of a research problem that can
help integrate the different factors or variables of the study. The theoretical frame
work summarizes the facts to be gathered and provides an explanation of why some
patterns are posited. While the statement of the problem, hypothesis, and list of vari
ables may give you a feeling that they are disparate or unconnected, the theoretical
framework should be able to explain why propositions regarding certain relationships
are being made.
The theoretical framework is especially helpful in �xplanatory types of reserches where

relationships are being established. It points out the connections among the different
variables of the study.
A diagram showing the interconnections of the variables may be included. Make sure
that you are clear about the dependent variable of your study. Then map out the other
variables related to it. As you do so, make sure that you are forming arguments about
the patterns of relationships, whether in the null or alternative form.. Furthermore, it
should be clear why a given pattern is being proposed. It is important to give an expla
nation or rationale for the patterns discussed or argued for.
Let me share with you the framework that guided me in the assessment of Partnership
for Community Health Development (Bautista 1996: 2-3). I argued that the program,
which hinged on a participatory method, improved the health condition of the target
beneficiaries. My framework was as follows:
To summarize the basic arguments of this research, Figure 1 shows the interre
lationships of the factors studied and the rationale for relating them.
This study points out that PCHD exposure leads to an improvement in the
health situation of the community as indicated by the number of diseases per
ceived to have been reduced as well as by the ratings on cleanliness of the
community. Impact is also demonstrated by the barangay's emphasis in sus
taining PCHD activities through future plans for resource generation, train
ing/capacity-building, establishing linkages with various sectors and other de
velopment activities.
Exposure to PCHD facilitates the attainment of a health condition in the popu

lation because of the emphasis given to the involvement of the community in
the management of their own needs and problems. Participation enhances the
attainment of a health condition since the community members help service
providers in identifying their own requirements and assist, as well, in under
taking activities which will redound to their own benefit.
Other indicators to demonstrate improvement in health services are the in

UP OPEN crease in the number of sanitary toilets and the availability of a potable water
UNIVERSITY
system, both of which are important ingredients in the maintenance of health.
However, the extent of involvement of the citizens in community activities

hinges on the leadership's commitment to allow the citizens to serve as active
participants in decision making processes-in planning, implementing and
assessing local development activities.
Figure 1. Theoretical Framework
Administrative Inputs Effects

.
Impact
·No. of service providers · Increase in no. of ·No.of diseases

·No. of facilities
· Amount of PCHD
sanitary toilets
· Increase in availability
_. reduced
· Cleanliness
support of safe water · Sustainability plans
· Accessibility of PCHD · Increase in no. of
site services/practices
t'-------�--t
Leadership Extent and level
Commitment to of community
participatory approach participation
As a recap of this module, do SAQ 5-1 and 5-2.
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80 PM 299.2 RESEARCH AND PUBUC MANAGEMENT
SAO 5-1
Case: A researcher is interested in determining whether or not there are differ

ences in the participants' degree of involvement in a seminar on ethics as a result
of the kind of feedback provided by the resource person. Being aware of prior
research indicating that males and females participate at different levels, the
researcher will make sure that the sample consists of approximately equal numbers
of male and female public administration graduates of males and females recruited
for the seminar. The data will be based on the observed frequency with which
participants get involved or respond during seminar activities.
The sample will be divided into three groups. One group will receive oral feedback
only; the second group will receive written feedback only; and the third group will
receive oral and written feedback. The researcher will compare the frequency of
participants' involvement among the three groups after the feedback treatment
has been used for three weeks.
Instruction:
1. Mark the sentence or clause that contains the statement of the problem for
this research.
2. Classify the list of possible variables below as independent, dependent, con

trol, or extraneous variables:
a. Gender of resource person
b. Gender of participants
c. Frequency of voluntary participation
d. Feedback group
e. Graduates of public administration
f. Participants' enthusiasm for the subject
3. Based on the problem statement alone, indicate whether or not each of the
following hypotheses is relevant. If relevant, indicate whether the hypothesis
is written in null or alternative form. If the hypothesis is in the alternative
form, further indicate if it is directional or non-directional.
a. There is no difference between participants taught by male resource per
sons and those taught by female resource persons in frequency of partici
pants' involvement.
b. Female participants volunteer more frequently than males.
c. Participants who receive more feedback attain achievement test scores
different from those who receive less feedback.
d. There is no difference among the three feedback groups in the frequency
of participants' involvement.
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e. Participants receiving oral and written feedback volunteer more frequently

than those in either of the other groups.
f. Highly enthusiastic participants receive more feedback than the enthusi
astic ones.
ASAQ 5-1
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Time off before you do SAQ 5-2!
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SAO 5-2
Problem: In a study assessing the effect of distance between the point of origin of
and the destination point of LRT users and level of utilization of LRT by sampled
clients, the following operational definitions were adopted:
1. "Distance between the point of origin and the destination point of LRT users" is
based on the number of kilometers spann_ing these two points from the per
spective of the clients.
2. "Level of utilization" is based on the clients' assessment of how often they

rely on the LRT, using a scale of 1 to 9 where 1 signifies "very little" and 9
means "very often".
Questions:
1. What is the independent variable?
2. What is the dependent variable?
3. Formulate a specific hypothesis to show the relationship between these vari

ables.
4. Provide a justification for the pattern proposed in number 3.
5. Identify the type of variables (i.e., nominal, ordinal, interval, ratio) opera
tionally defined in this research.
a. Distance
b. Level of Utilization
6. Add another variable (income level of citizens) to the set and prepare a frame
work, considering the two other variables mentioned in number 5.
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1. "Distance" is the independent variable.

2. "Utilization" is the dependent variable.
3. There is a positive relationship between distance and utilization.
The farther the distance, the higher the tendency to rely on the LRT.
The closer the destination, the lower the tendency to depend on this mass
transport system.
4. The relationship is positive because it is more cost-effective to utilize the LRT,
the farther the destination.
5. Distance is fixed ratio; utilization is interval scale.
6. I would argue that income is inversely related to utilization becuase those
with high incomes will still prefer to rely on their own vehicles as a modelof
transport. Thus, the framework may be:
Distance
Utilization
Income
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£8 SlUawa13 Ja4l0 / NOl_l_\flnv'\ltiO:J v'\l31S0tld :JO S1-N3v'\l3l3

1991 The Administrative Capacity of the Socialized Tuition and and Financial
Assistance Program (STFAP): An Early Evaluation. PJPA XXXV 2 (April 1991).
2. You may start conceptualizing your own proposal by defining the research
problem and shaping the other components of the statement of the research
problem.
SUMMARY
While the different components of the research problems were discussed according to
a particular order in this module, you need not follow this sequence in your research
proposal. These components are some of the usual elements constituting the state
ment of the problem. It is up to the researcher to define the flow as he/she sees fit in the
preparation of his/her proposal, and ultimately, the report. A researcher is entitled to
his/her own style.
REFERENCES
Bautista, Victoria
1996 Partnership for Community Health Development Appraisal Report - Year Year III.
Quezon City: UP College of Public Administration.
1989 How Effective is the PHC Strategy?: Highlights of the Results of a Survey. Philippine
Journal of Public Administration. XXXIII, 2 (April).
1988 Assessing Primary Health Care as a Strategy in Health Service Delivery. Volume 1.
UP College of Public Administration. Quezon City.
Catilo, Aurora C.
1981 T he Social Justice Content of Agrarian Reform Policies and their Consequences on
Rural Development. A doctoral dissertation submitted to the UP College of Public
Administration. Manila.
Human Development Network (HDN) and United Nations Development Programme (UNDP)
1997 Philippine Human Development Report. Manila: HDN and UNDP.
Kidder, Louise H. and Charles M. Judd
1986 Research Methods in Social Relations. Fifth Edition. New York: Holt, Rinehart and
Winston.
Ocampo, Romeo B.
1993 Toward a Review of Research and Knowledge in Philippine Public Administration. In
Introduction to Public Administration in the Philippines: A Reader, ed. Victoria A. Bautista
et al. Quezon City: UP College of Public Administration.
UP OPEN United Nations Development Programme.
UNIVERSITY 1994 Human Development Report. New York: UNDP.
RESEARCH DESIGNS
Dear Student,
This unit makes you aware that there are many options in designing the overall struc
ture for conducting public management studies.
There are five modules to this unit. The first (Module 6) discusses experiments as a
mode in research with a quantitative design. While this is not commonly implemented
in public management, the methodology is explained for you to appreciate how it is
approximated in other designs like quasi-experiments (Module 7) and surveys (Mod
ule 8).
Module 9 focuses on basic issues that are normally dealt with in setting up the struc
ture of your observations. This highlights the rules of validity and reliability.
The last module in this unit is on qualitative studies (Module 10).
Upon completion of this unit, you should also be able to identify the appropriate re
search design for your own research project. Make sure that you are formulating a
research design that is feasible, considering the time frame of the semester.
Good luck!
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MODULE&
QUANTITATIVE RESEARCH DESIGNS:

EXPERIMENTS
INTRODUCTION
As you begin to think about how you are going to find answers to the research
questions you have raised, you may start to identify the overall design or scheme
for undertaking your observations. This means knowing the general arrangements
for conducting the study, such as:
The timing of observations: Will the observations be conducted as the event

is occurring or after it is completed?
The number of groups to be studied: Will you compare a group that has
been exposed to the variable studied with one that hasn't, or will you ob
serve the various degrees by which a variable is manifested?
Your role as the researcher in relation to the event or the variables being
studied: For instance, will you make the event happen, or witness it as it
happens in reality?
A basic issue in research methodology is determining the appropriate research

design. This decision will be influenced by the technical preparation of the re
searcher and his/her preference, given the various alternatives available.
The research design maps out the overall structure for the conduct of the in
vestigation. It is like an architectural design prepared prior to building a house
in that it provides specific directions on how the different building blocks will
be put together.
Why is the architectural design necessary before building a house? First of all, you
avoid waste of time and resources because, guided by the design, you will invest in
something you know will be necessary to construct the house. You cannot afford to
proceed through trial and error. Such an approach would be very costly. Second, you
can be assured that you are constructing a house that you like because you have thought
about it ahead of time.
Well, you can say the same thing for the conduct of research. A research design arms
you with tools to make you more efficient in the use of time and resources. You will
also be prepared to proceed according to the processes each design normally requires.
OBJECTIVES
At the end of this module, you will be able to:
Distinguish between the major types of research design;

List the different requirements of quantitative research designs for respond
ing to explanatory research problems, particularly those inferring causality;
and
Differentiate the various designs used in quantitative research.
1.0 BACKGROUND
Table 6-1 summarizes the different designs that will be discussed in this module in
terms of the research problem and the overall approach.
The table is by no means exhaustive. However, it summarizes the common designs

undertaken by researchers, academics, and practitioners in the field of public admin
istration.
For qualitative types of research that aim to respond to descriptive types of research
problems, the common designs are case studies and the historical approach.
For qualitative studies that address explanatory research problems of a relational na
ture, comparative case studies and the historical approach may be used. The same
may be applied in causal analysis, except that the intent of the latter is to point out that
an antecedent condition is mainly responsible for the occurrence of a given event or
manifestation of a particular behavior.
On the other hand, for quantitative types of research that focus on a descriptive re
search problem and the explanatory-relational type, the survey is a common approach.
The causal type of research problem is the most demanding. Stiffer requirements have to
be met to assure us that the assumed independent variable is the critical factor that influ
UP OPEN ences the dependent variable. This form of research will be our starting point in this
UNIVERSITY module, since the logic of other designs can be easily understood from this vantage point.
RESEARCH DESIGN/ Quantitative Research Designs: Experiments 91
Table 6-1. Research Designs According to the Type of Research Problem and
Overall Research Approach
Approach Descriptive Explanatory
Relational Causal
Quantitative Survey Survey Experimental

Quasi-experimental
Pre-experimental Survey
Qualitative Case study Comparative case studies Comparat1ve case studies

Historical Historical Historical
2.0 RULES FOR INFERRING CAUSALITY
Since their aim is to prove the existence of a causal relationship, explanatory studies
have stricter requirements than other research designs. These requirements may be
understood in terms of the basic conditions necessary to infer causality.
First of all, it is necessary to witness the occurrence of both the independent and de
pendent variables and to observe that change occurs in the performance or behavior of
the dependent variable with the change in the value of the independent variable. This
is called the principle of concomitant variation.
For instance, to be able to say that providing day care service to preschool children of
working mothers influences the mothers' performance at work, then we should be
able to witness a difference in behavior at work between the mothers who are provided
this amenity and those who are not. Thus, in the following example, the influence of
the independent variable is observed in Option 1 but not in Option 2.
Option 1
With day care service ----• Improvement in performance among mothers

Without day care service ---• No improvement in the performance at work among
mothers
Option 2
With day care service - -•

- No improvement in performance among mothers
Without day care service ---� No improvement in performance among mothers
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Another important rule is to observe the time order of relationship between the inde
pendent and dependent variables. As a rule, it is illogical to assume that X (the inde
pendent variable) influences Y (the dependent variable) if it does not precede Y.
Furthermore, it is important to rule out the possible effects of other variables which,
though not the focus of the study, could be the real factors affecting the outcome. This
is done to assure us that it is the independent variable alone that influences the de
pendent variable. For instance, in the previous example, can we claim that it is the
introduction of day care service that influences the performance of the mothers, and
not the motivation provided by the supervisor, satisfying relationships with peers in
the workplace, monetary incentives in the workplace, and/or the nature of work per
formed by the workers? It is important to rule out these extraneous variables.
Some common factors that can act as extraneous variables and lead to false conclu
s10ns are:
1. Qualities pertaining to the subjects or persons being studied
First, the past history of the subject may relate to the independent variable in a way
that affects the outcome. For example, if there is an existing day care service provided
near the home of the mothers with preschool children, the introduction of the day care
service in the workplace may not result in a change in performance. Then we might
wrongly conclude that day care has no effect on performance, whereas in fact it already
had an effect.
Another potential source of extraneous variation stems from the personal character
istics of the subject being studied. It may be these characteristics that cause the ob
served behavior, and not the effects of the independent variable. Thus, in the case of
the introduction of day care service, the mothers' performance may result from endur
ing characteristics like high motivation for work. Hence, whether or not day care serv
ice is provided is immaterial. If the mothers are highly motivated, the presence or
absence of day care service for their preschool children may not affect their perform
ance.
Another factor is maturation. This refers to the normal developmental changes that
may occur simultaneously with the introduction of the independent variable. These
improvements occur in spite of the independent variable. For instance, mothers who
stay on the job for quite some time become more adept in the work they do because of
more practice on the job. Improved performance, therefore, does not result from day
care service provided to children but comes naturally with the work they do. For in
stance, a typist gets better as the work is done over and over again.
In some instances, the subjects of the study have transitory characteristics that could
influence the occurrence of the dependent variable. Transitory characteristics are tem
porary conditions that may arise occasionally. For instance, the performance of certain
mothers in the case cited above could be affected by the visit of a childhood friend or
UP OPEN a stroke of good luck rather than the satisfaction brought about by the additional in
UNIVERSITY centive of day care services for their preschool children.
RESEARCH DESIGN / Quantitative Research Designs: Experiments 93
2. Investigator effects
The investigator may likewise influence the results of the study.
Like the subjects, the investigator may have enduring personal characteristics that
could have a systematic influence on the performance of the subject. For example, the
researcher may be harsh in dealing with the subjects and could thereby affect the kinds
of responses they are likely to give. In other words, the demeanor of the researcher can
influence how subjects or respondents respond. Thus, it is important for researchers
to be trained in how to avoid influencing or affecting the behavior of the subjects of
the study.
Variations that occur in the process of administering questions could affect the accu
racy of the information obtained. Researchers may commit errors in wording the ques
tions. In the actual survey, they may unconsciously change the wording of questions
used for measuring performance, or omit questions, or inaccurately process the infor
mation gathered because of unconscious biases or expectations.
In short, in the different phases of the implementation of the research, certain actions
of the researcher may affect the accuracy of the results.
3. Environmental context
An important aspect of the study that should be considered is the context within which
it is to be conducted. Sometimes there are features in the environment that may posi
tively or negatively influence the dependent variable.
For example, in our hypothetical case on assessing the performance of mothers being
offered day care services for preschool children, what if a directive were issued by the
head office appealing to the workers to be more productive? This could influence the
performance of the mothers in a way that might obscure the effects, if any, of provid
ing day care services.
4. Methodological application
Another set of factors has to do with the methodological soundness of the research,
which could affect the reaction of the subjects of the study. For example, the lack of
clarity in the way instruments are formulated could lead to variations in interpreta
tion. A simple question may be confusing to respondents if we do not clarify what we
hope to measure. Take the question, "What is your family income?" Some may answer
on a per month basis, others on an annual basis. Some may include regular income,
while others may include other sources. In other words, be specific about what you
hope to measure and raise this uniformly to all respondents.
Another methodological issue can be the inadequacy of the items raised in the assess
ment. Some instruments fail to capture the full range of variables incorporated in the
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Also, failing to translate the instruments to the dialect may have an impact on whether
or not respondents will participate in the study.
3.0 TYPES OF EXPLANATORY DESIGN: CAUSAL ARGUMENT
Several options for facilitating the inference of causality are available. Research de
signs for explanatory studies that aim to show causal relationships can draw from the
classic experimental design. But other varieties are available and these are in fact the
more popular and feasible methodologies in public administration. These are the quasi
experimental design and the survey design.
3.1 SOME BASIC CHARACTERISTICS
The defining characteristic of an experiment is that the researcher manipulates the

independent variable. That is, instead of observing events in the natural setting, the
researcher exercises control over the situation, changing some variables while holding
others constant. This is why it is called "experiment"-you tinker with it; you make it
happen!
A second important characteristic of an experiment is that there are normally at least

two groups to be compared. One is called the experimental group (ExG). The ExG is
the group where the independent variable or treatment is introduced. The independ
ent variable is also called the experimental variable as it is the one manipulated to
occur. The other group is called the control group (CG) or the group where the experi
mental variable is not introduced. Thus, the structure of the experiment is:
ExG ----� exposed to the experimental variable

CG ----�- not exposed to the experimental variable
The question is: Why is it necessary to have two groups? It is important to have two
groups in order to have a basis for comparison. It is difficult to say an improvement
has taken place as a result of the experimental variable if there is no other group with
which to compare it.
A basic requirement in setting up the two groups is equivalence. The two groups should
vary only in terms of the presence of the experimental variable in the ExG. In other
words, extraneous variables are ruled out in experiments by ensuring equivalence be
tween the two groups.
3.2 ENSURING EQUIVALENCE
Some procedures are undertaken in order to ensure the similarity of the two groups
before the experiment is undertaken. The traditional approach is to match the charac
teristics of the persons who will be assigned to the experimental and control groups.
UP OPEN For instance, to test the argument that immersion of municipal mayors in model areas
UNIVERSITY (such as Galing Pook) leads to an improvement in their orientation to public manage-
ment, local execu�ives who will be included in the experiment will be initially assessed
in terms of certain characteristics to ensure that similar pairs are identified. One mem
ber of a pair will be assigneq to the ExG, the other to the CG.
For example, the fi:st pai_r could manifest the following characteristics:
male
32 years old·
college graduate (in public administration)
five years experience in local development management
T hese attributes (sex, age, educational attainment, experience in loc'11 development

management) are identified on the assumption that they are factors that could influ
ence receptiveness to the program. For instance, the female participants may take the
program more seriously; the younger participants may be more open to improvement
in style of management; higher educational attainment can facilitate understanding of
the inputs in the orientation; and more experience in local development management
could lead to resistance to learning new approaches.
To make sure that these attributes will not affect the overall attitude of the executives,
they are controlled or held constant in the two groups.
But there are difficulties that may be encountered in applying this approach, espe
cially in social science research, including public administration. T hese are:
Participants with the same characteristics may not be willing to participate.

Qualities that are considered a basis for identification may not encompass all
the possible factors that should be controlled.
Ethical reasons may prevent the researcher from assigning subjects to either
group. For instance, it may not be fair to withhold a benefit from a group of
participants just to set up a control group to witness its effect.
A more feasible approach is random assignment of subjects to conditions. Take note

of the importance given to the principle of probability here. Each person who is will
ing to join the experiment is given an equal chance of being assigned to the ExG and
the CG. It is not the researcher who determines who will be assigned to any one group.
What is the principle behind this approach? It is to create equivalence between the
two groups, in terms of all characteristics.
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Group A Group B
Group A Group B
Random assignment can be further improved by defining some criteria for the pool
of volunteers for the experiment. For instance, from the list ofqualities identified in
matching, specific qualities will be required of the pool, such as:
participants who are new in their job as mayors-to ensure that the wide expo
sure oflong-termers will not unduly improve their response to the experiment
participants from the 6 1h class municipality-to ensure that they have similar
expenences
participants with the same educational attainment (at least college education)
to ensure that their capacity to reflect on the exposure to model areas will not
be constrained by lack of education
3.3 TYPES OF EXPERIMENTAL DESIGN
Experimental designs can be grouped according to when measurements are made, as

follows:
1. After Only Design or Post-test Design. This is made up of two groups where the
impact of the experimental variable is measured following the experimental manipu
lation, or treatment. Diagrammatically, this may be presented as follows:
UP OPEN R ExG X
UNIVERSITY R CG
In the diagram, R stands for random assignment of subjects to conditions. This re
minds us that the researcher does not exercise any personal preference in distributing
the subjects to ensure that there is objective basis for grouping participants in the
experiment. X stands for the treatment or experimental variable. 0 1 stands for the
observation or measurement to be undertaken for ExG after the completion of the
experiment. 02 stands for assessment in the CG after the experiment.
Let us suppose that in the hypothetical example about the newly installed mayors
receiving management training, the subjects randomly assigned to the ExG receive
training by field immersion while those in the CG are trained by means of lecture
discussions. Subsequently, their commitment to innovative strategi�s is rated. The
results are indicated in parenthesis:
R ExG w/ immersion O 1 (80)

R CG 02 (65)
In order to determine whether X influences the commitment of the mayors to innova

tive strategies in local management (measured by their personal rating with a scale of
0 to 100%), we take the difference between 0 1 and 0 2_ For instance, the difference be
tween 80 and 65 is 15 since:
80 - 65 = 15
The 15% difference shows the edge of the ExG over the CG.
The weaknesses of this design are:
The initial position of the subjects are not known. They may be different in
knowledge level when they started.
Post-test measures may likewise capture maturation effects and other factors
occurring simultaneously with the experiment (contemporaneous events) but
these are not differentiated from the effect of X in the post-test scores.
In this particular case, the maturation effect could be the change that would normally
happen in training, apart from the immersion introduced in the ExG. On the other
hand, a contemporaneous event that could affect the dependent variable could be the
instruction of the President for all mayors to join him in the Lakbay-Aral to see the
innovations of the Galing Pook awardees. This would result in common exposure to
the model areas for both groups.
2. Before-After (Pretest-Post-test) Design. This also involves two groups, but with
measurements made before and after the introduction of the experimental variable.
This corrects the weaknesses of the first design because the comparative position of
the subjects or participants in the experiment can now be established. Second, it is
possible to differentiate the influence of the experimental variable against the normal
effects of tLaturation and other contemporaneous factors.
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The setup of this design is as follows:
R ExG 01 X
R CG 03
Take note that for the ExG we have labeled our pre-assessment 0 1 and the post-assess
ment 02 • Similarly, for the CG the pre-assessment is labeled 0 3 and the post-assess
ment 04 •
To be able to measure the effect of X, the following mock data are provided:
R ExG 01 (50) w/ immersion 02 (80)

R CG 03 (50 ) 0/65)
Thus:
Effect ofX is the absolute value of the difference between the pretest and post
test scores in ExG minus the absolute value of the difference between pretest
and post-test scores in CG. Why is this the case? One way of looking at it is that
the difference between pretest and post-test scores for the control group esti
mates the change that would have happened to the experimental group anyway,
independently of the experimental treatment. The effect of the treatment itself
is therefore the total change in the experimental group minus the change that
would have occurred anyway.
Symbolically, this may be presented as:
Given the data on personal assessment of mayors on their commitment, the

computation of effect of X is:
/50 - 80/ - I 50 - 65/ = 30 - 15 = 15
Effect of maturation and contemporaneous factors is the difference between

the absolute value of the pretest and post-test scores in the ExG minus the
effect of X. (Notice that this is identical to the difference between the pretest
and posttest scores for the control group,/ 0 3 - 04 /, which we referred to above
as "the change that would have happened anyway". Thus:
/0 1 -02 / - effect of X
Given the preceding data, the effect of maturation and contemporaneous factors is:
/50 - 80/ - 15 = 15
UP OPEN However, the weakness of this design is that the effect of the pretest is not captured in
UNIVERSITY the assessment. You see, pretesting may already warn participants about what will
transpire in the experiment and may in a way do something additional, apart from the
experiment, to inform the managers about the subject matter covered in the program.
This is corrected in the subsequent design, which is a bit messy and tedious.
3. Solomon Four-Group Design. This corrects the deficiency of the second model. It
is a four-group design as it technically combines both the first and the second models
previously discussed. Thus, it has one set of control and experimental groups which
are subjected to pretest and post-test measures. Another set has both groups but are
subjected to post-tests only. The following summarizes this design:
ExG 0 1 (50) w/ immersion 02 (95)

n, c5o)
R
R CG 0/90)
R ExG w/ immersion 0 5 (85)
R CG 06 (80)
This design is able to distinguish the effect ofX from the effect of pretest and the joint
effect of maturation and contemporaneous factors. A matrix may be formulated to
determine the difference between these factors, such as the following:
Exposed toX NoX Pretest Effect

With Pretest 0 2 (95 ) 04 (90 ) Mean 1 = 92.5
No Pretest 0/85 ) 0/80 ) Mean2 = 82.5
Effect ofX Mean3 = 90 Mean4 = 85
To determine the:
Effect of X - The effect of the treatment is reflected in the average difference

between the experimental and control conditions. So to find it, we simply get
the difference between the absolute value of Mean3 and Mean4
Symbolically, this is: x /Mean 3 - Mean4 /

90 - 85
5
Effect of pretest-The effect of the pretest is reflected in the difference be

tween the averages of difference between the conditions with a pretest and
those without. Thus, it is given by the difference between the absolute value
of Mean 1 and Mean2 •
Hence, effect of pretest /Mean 1 - Mean/

/92.5 - 82.5/
= 10
Effect of contemporaneous factors and maturation -Any remaining differ
ences in the experimental group that can't be attributed either to the effect of
X or to the effect of the pretest are differences that would have occurred any UP OPEN
way due to maturation or other contemporaneous factors. To find these, we get UNIVERSITY
the absolute value of the difference between the pretest and the post-test of the
experimental group minus the effect of X and the pretest.
Hence, effect of contemporaneous/maturation is
= I 0 1 - 0/ - (Effect of X + pretest)
= /50 - 95/ - (5 + 10)
= 45 - 15
= 30
4. Factorial Design. This design is characterized:by the inclusion of several experi

mental variables, instead of just one. It has the strength of having several comparison
groups, rather than just a single experimental and control group.
This approach could be represented as:

R ExG 1
R ExG2
R ExG,
R CG
For example, consider an experiment designed to measure the levels of satisfaction of

married couples of reproductive age with different methods of family planning. In
such an experiment there could be several experimental variables (that is, different
methods of family planning, such as the pill, IUD, injectibles, etc.), with the control
group using rhythm, the traditional mode of family control. Personal assessment of
satisfaction could be based on a scale of 1 to 5 where 5 represents "very satisfied" and
1 "very dissatisfied." Given the format presented earlier, this can be represented with
some mock data as follows:
R ExG 1 pills 0 1 (4.5)

R ExG 2 IUD 0/4.0)
R ExG, injectibles 0� (3.2)
R CG rhythm 0/2.8)
Through comparative assessment of the data on personal satisfaction, the acceptabil

ity level of the family planning modes can be compared. The data indicate that the
preference level can be ranked from highest to lowest as: pills, IUD, injectibles, and
rhythm.
It can be seen that the factorial design example involves a post-test measure similar to
the first design presented here. It should be acknowledged that there are limitations to
designs that use a post-test measure only. However, it is possible to improve on this
design by introducing components of the other designs discussed earlier.
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RESEARCH DESIGN/ Quantitative Research Designs: Experiments 101
4.0 EXPERIMENTS AND PUBLIC ADMINISTRATION
Experiments are not often conducted in public administration and the other social
sciences. The different experimental options were discussed in this module to show
you that they can be conducted and approximated in other types of design.
Experiments cannot be implemented as often as desired because of the difficulty in

conducting studies in a laboratory setting. Since public administration deals with big
populations, it is difficult to set up laboratory-like conditions that ensure that partici
pants are expressing reactions that can be generalized to a big population.
.
There are also ethical issues involved in the conduct of experiments. Manipulating
events have implications for people. If the effect is positive, then it is not difficult to
impose. On the other hand, withholding a benefit from control groups could pose a
dilemma to a researcher. For instance, introducing an information campaign on nutri
tion on selected groups and comparing these groups with other groups without this
exposure (serving as the control group) may be unfair to the latter group.
Also, random assignment of participants to experimental or control conditions cannot

be imposed. If the experiment will affect the daily life of people, participants may
prefer to make choices with regard to the condition they wish to be subjected to. In
such a case, the study loses the quality of an experiment. It becomes based on people's
preferences rather than random assignment to conditions. This will be discussed in a
later module.
Thus, quasi-experiments and surveys are more feasible in public administration. How
ever, we shall see that they also try to copy the conditions in an experimental set-up.
Let us pause awhile and answer some SAQs.
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SAO 6-1
A. Write the letter of the word or phrase that corresponds to your answer in the
blank before each item.
__ 1. In inferring causal connections between the independent variable (X) and

the dependent variable (Y), one of the principles that should guide the researcher
is to demonstrate that X and Y should occur together and vary together. This is the
principle of:
a) controlling extraneous variables

b) concomitant variation
c) proper time order of the relationship between X and Y
__ 2. In proving causal relationships, it is important to rule out factors that are

not necessary in the investigation, except to show the relationship between X and
Y. These unnecessary factors are called:
a) experimental variables
b) dependent variables
c) extraneous variables
__ 3. It is possible that some factors other than X and Y may not be controlled
in a research. An example of this has reference to the normal developmental changes
which occur simultaneous to the research but which should be differentiated from
X. For instance, you may want to study the impact of using Filipino in the conduct
of a training program on ethics for local chief executives. In this case, the intro
duction of the program on ethics could affect the overall performance in the
program, aside from the use of Filipino as a medium (the experimental variable).
This extraneous variable is called:
a) past history of the subject related to X

b) enduring personal characteristic of the subject
c) maturation
__ 4. In the conduct of experiments, the group against which the performance

of the experimental group is compared is called:
a) experimental group
b) control group
c) extraneous group
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__ 5. In the conduct of social science research, a more convenient way of

ensuring the similarity in the characteristics among the participants of the experi
mental and control groups is:
a) matching
b) random assignment of subjects who are willing to participate in the ex
perimental and control groups
c) making the participants select what group they wish to get involved in
__ 6. In the conduct of an experiment, the researcher's role entail

5:
a) observing the events as they happen in the natural setting

b) manipulating the independent variable to occur
c) waiting for an event that one is interested in studying
__ 7. Random assignment of subjects or participants of an experiment to the

experimental and control groups is:
a) optional
b) a must
c) not necessary
__ 8 . In a study that assesses the impact of pre-marriage counseling on family

planning, it is argued that involving testimonies of couples with many children
generates more enthusiasm among engaged couples than having social workers
undertake the program through lectures only. The assessment is to be conducted
by comparing two groups who attend this program in a city hall, and assessing
their satisfaction level after the orientation is conducted for both groups. This
type of experimental design is called:
a) post-test
b) pretest/post-test
c) factorial design
__ 9. For instance, engaged couples who attended the program were asked
about their satisfaction with the program (mentioned in #8) using a scale from 1
to 5 with 5 showing "very satisfied" and 1 as "very dissatisfied". The following
scores were obtained: 4.5 as the satisfaction �vel for the group with testimonies
of couples who have many children; 2 .4 for the group without these testimonies.
What can you say about the effect of the program where testimonies have been
given?
a) the program is effective

b) the program is not effective
c) the pattern is not clear
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__ 10. In the same case mentioned above, held simultaneously with the experi
ment was media coverage by a nongovernment organization on the value of family
.
planning. If the participants of the pre-marriage counseling program are exposed
to this campaign, this exposure can be considered as the effect of:
a) the program is effective

b) the program is not effective
c) the pattern is not clear
B. Suppose you have the following data on th@ average number of children that
engaged couples would like to have, before arid after the exposure to the pre
marriage counseling program which involved testimonies of couples with many
children in one group, and those without in the second group.
Pretest Post-test
Group with testimonials 4.2 2
from couples with many children
Group without these testimonials 4 3.2
Compute the Effect of X and maturation/contemporaneous factors.
ASAQ 6-1
A.
1. B 6. B
2. C 7. B
3. C 8. B
4. B 9. A
5. B 10. C
How did you fare?

9-10 points - Excellent
7-8 points - Very good
5-6 points - Good
3-4 points - Fair (Study some more)
1-2 points - Poor
t·1 = 8' - z·z - x :l-o :paH3

(mpe:l- snoaueJodwalUOJ :l-O :paH3) 8' - z·t: - t 9)
(Jo:pe:l- snoaueJodwalUOJ pue X :l-O :paH3) z·z - z - z·t 9x3
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SUMMARY
On the whole, experiments can be characterized on the basis of the three points I
raised at the start of the module:
Role of the researcher: The researcher manipulates the events that will take
place and ensures the comparability of the experimental and control groups
through random assignment of subjects to conditions.
Number of groups studied: There are at least two groups%the experimental
and control groups. The experimental group is exposed to the experimental
variable while the control group is not. The latter group is necessary so that
there is a group to which one can compare the accomplishment of the experi
mental group.
Timing of observation: Observations can be made at various points during the
experiment. Observations can be done at the end of the experiment, or before
and after.
Ultimately, the choice of options will depend on the willingness of the participants to
be involved and the kind of topic being studied.
REFERENCES
Creswell, John W
1994 Research Design: Qualitative and Quantitative Approaches. Thousand Oaks: Sage Publi
cations.
Gay, L.R.
1996 Educational Research: Competencies for Analysis and Application. Columbus, Ohio:
Prentice Hall.
Judd� Charles, Eliot Smith and Louise Kidder
1991 Research Methods in Social Relations. Forth Worth: Holt, Rinehart and Winston.
O'Sullivan, Elizabethann and Gary R. Rassel
1994 Research Methods for Public Administration. z nd Edition. White Plains, New York:
LongmanPublishers.
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MODULE 7
QUASI-EXPERIMENTS
INTRODUCTION
In the previous module� I attempted to cover some basic issues regarding the for
mulation of quantitative designs. I focused on experiments as a basic scheme to
prove cause-effect relationships.
However, in the field of public administration, most researches may not be open to
the experimental approach since the target subjects or participants may not be
willing to be assigned to either the experimental or control group. The target par
ticipants may be very difficult to treat as subjects because they have preferred op
tions.
For example, in introducing a program on family planning, it may not be possible

to pool participants to the program and then randomly assign them to conditions.
Since the program has an impact or effect on the personal lives of people, the
participants may have to be given the choice of whether or not they are willing to
try the innovation. If, for instance, the experiment is on injectibles as a mode of
controlling family size, participants will have to be given the option of indicating
whether or not they are willing to subject themselves to this mode of contracep
tion. In this case, researchers can no longer choose to uphold the probability sam
pling principle. It can become an ethical issue.
This is the context of this module. The fact that participants indicate their prefer
ences changes the character of the research design.
OBJECTIVES
This module aims to enable you to:
Characterize quasi-experiments as examples of the quantitative-explanatory

approach;
Distinguish among the different types of quasi-experimental designs; and
Differentiate pre-experiments from quasi-experiments.
1.0 QUASI-EXPERIMENTS DEFINED
The term quasi-experiment bespeaks the fakeness of the character of this research de
sign. Why do I say so?
In a way, quasi-experiments attempt to behave like experiments in that the researcher

manipulates events. There is the element of control over the conditions in a particular
setting and who will become involved. For instance, researchers may become inte
grated into the delivery of programs and projects and are asked to conceptualize how
an assessment of the performance of programs and projects can take place. The re
searcher controls the conditions for the observation.
However, quasi-experiments may be constrained by the fact that participants may not
be willing to be dictated to in terms of the conditions available to them, particularly
that of being exposed to programs and projects. In other words, random assignment of
subjects to experimental conditions cannot be done here. Even if programs and projects
are introduced to particular project sites, target beneficiaries cannot be forced to coop
erate.
In a situation like this, one of the conditions in experiments cannot be upheld. But the
researcher can proceed with his/her study. In the previous example on the effect of
field immersion on the commitment of newly-installed local executives, the difficulty
that may be experienced in sustaining the experimental nature of the approach is the
probable lack of willingness on the part of these executives to be randomly assigned to
either the experimental or control group. In this case, then the best we can achieve is a
quasi-experiment.
What are the different options in the conduct of quasi-experiments? These may be
identified in terms of:
How many groups will be studied?

What is the timing of observation?
These are the issues we will deal with in the following sections.
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RESEARCH DESIGN/ Quasi-Experiments 109
2.0 TYPES OF QUASI-EXPERIMENT
Technically speaking, quasi-experiments operate like experiments since there are nor
mally two groups being compared: the experimental group (ExG) and the control group
(CG). However, the difference will be noted in the lack of the R feature in the set-up
below to depict the absence of random assignment to conditions.
The researcher who uses the quasi-experimental design can choose from the following
options:
2.1 PRETEST-POST-TEST WITH NON-EQUIVALENT CONTROL
This mode is similar to the pretest-post-test design in experiments, with one differ
ence: the researcher cannot randomly assign participants to ExG and CG. This is the
reason why the qualifier R in the diagram below no longer appears. Furthermore, the
term, non-equivalent control, reflects the researcher's difficulty in ascertaining how
comparable the participants are in their characteristics since the researcher has no
control over the comparability of their initial condition.
In sum, this design may be represented as follows:
ExG X
CG
2.2 TWO-GROUP, SINGLE INTERVENTION TIME SERIES DESIGN
Two groups are compared: ExG and CG. But unlike in the first design, measurement
takes place many times before the start of the experiment and several times again after
it. This is how the researcher knows whether there are changes in behavior among the
participants even if there are no interventions introduced.
This design may be presented as follows:
ExG 01 X
CG 05
For example, one bank in the Philippines requested one of the centers of the UP CPA
to conduct a training program for its middle level management to improve its leader
ship capabilities. A set of assessment forms was administered to the group by the bank's
Human Resources Department a year before the implementation of the program. An
other set was administered six months prior to the conduct of the training. Then a
post-assessment was conducted six months after the program. The second post-assess
ment was undertaken a year after. The assessment involved having the performance of
the middle-level executives given a rating by their respective bosses, using a scale of0 -
100%. Let us assume that the following data are available:
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ExG 01 02 training 03 04
(55) (60) (85) (95)
CG 05 06 07 08
(56) (60) (70) (75)
The example shows that there are changes in the rate of improvement in the pre- and
post-assessment stages of these different groups of middle-level executives. There is
an improvement of 5% for the ExG and 4% for the CG in the two pre-assessments for
each group. In other words, it is possible that some improvement in capability had
already taken place among the middle level executives outside of the training program
itself. However, the improvement between pre- ancl post-test for ExG is 32.5% based
on the average of 5 7.5 between O 1 and O2 and the average of 90% between O3 and O4• On
the other hand, the average between 05 and 06 is 58% while post assessment scores of
0 7 and O8 yield a mean of 72.5%. In other words, the net improvement in pre- and post
tests in CG is only 14.5%. The training program, therefore, has an effect of 18% (based
on the difference between the performance of ExG and CG).
Pretest Mean Post-test Mean Difference
ExG 01 02 03
(55) (60) 57.5 (85) 90.0 32.5%
CG 05 06 07
(56)· (60) 58.0 (70) 72.5 14.5%
Difference between ExG and CG 18.0%
2.3 INTERRUPTED TIME SERIES EXPERIMENT
This is made up of only one group-the group that is exposed to the experimental
variable. No control group is set up. It is possible that participants are not available to
be part of the control group. Or everyone may have been targeted or saturated by the
experimental variable. For example, in the training program on leadership for a given
banking institution, there will be a time when no control group may be available for
comparison as every middle level executive is expected to have been covered by the
training program.
In this case, make an assessment several periods before the actual introduction of the
experimental variable. Thus, even if there is no comparative measure, the perform
ance of participants before the experimental variable is introduced can be assessed for
changes that normally occur. The pre-assessments can actually take the place of the
control group as a measure or yardstick for the changes brought about by the matura
tion process.
To illustrate this mode, the following diagram is presented:
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3.0 PRE-EXPERIMENTS
There are designs that, while approximating quasi-experiments, are generally consid
ered a weaker form of design. These are known as pre-experiments. They are similar
to quasi-experiments in that the researcher manipulates the experimental variable.
They are\\ �aker because either they lack a pre-assessment or they lack a compari
son group, or both. Nevertheless, they are useful in circumstances that do not permit
either true experiments or quasi-experiments.
The types of pre-experiment include:
3.1 ONE-SHOT CASE STUDY
This entails manipulating conditions for the experimental variable to occur. However,
there is only one group that is exposed to it and it is measured only after the comple
tion of the experiment. This can be summarized as follows:
ExG X
The difficulties with this model are:
There is no comparative basis for one to conclude that the experimental group
has performed better. First, there is no pre-assessment in the ExG. Second,
there is no CG that can indicate whether non-exposure to X will not bring
about changes in performance.
Also, there is difficulty in determining the effect of maturation on the mani
festation of the dependent variable.
3.2 ONE-GROUP PRETEST POST-TEST DESIGN
This is characterized by the introduction of the experimental variable in the experi

mental group. Measurement takes place before the onset of the experiment and then
after, which gives this design an edge over the one-shot case study. It gives the re
searcher an opportunity to know the initial condition of the subjects. In addition, it is
possible to compare the improvement from pre- to post-assessment stage.
The difficulty with this design is that it is not easy to identify changes that occur as a
result of:
maturation and contemporaneous events

pretest effect
This design is summarized as:
X
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3.3 STATIC GROUP COMPARISON
This is a very common approach. It is set up with the usual two groups of ExG and CG.
However, because it lacks a pretest for both groups, it is treated as a pre-experiment.
This lack prevents a researcher from determining how comparable the two groups are
at the onset of the experiment. Because of the non-assignment of subjects to condi
tions, it is difficult to determine whether the two groups are the same when the assess
ment takes place. Also, this design shares the difficulties of experiments with a Post
Test Design.
The design can be summarized as follows:
ExG X 01
CG 02
Let us see how much you have retained from this module. Please answer the following
SAQs.
SAO 7-1
Fill in the blanks with the appropriate words. The first letter of the missing word is
given as a hint.
1. Quasi-experiments are like experiments since researchers m ______

the experimental variable to take place.
2. Quasi-experiments differ from experiments because participants in the former
are not r assigned to the experimental or control group.
3. One example of a quasi-experiment has two groups 3/4experimental and control
groups. They are measured before and after the program is implemented. This
is called a pretest-post-test design with n control.
4. T series designs conduct several pretests and post-tests of
the participants in an experiment.
5. A one-shot case study is a p design.
6. A pre-experimental design that entails a post-test of the experimental and
control groups is called s ______
7. A one-group pretest-post-test design is a p because
8. of the absence of a c group.
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ASAQ 7-1
lOllLJOJ '8
fuawuadxa-aJd 'L
uos�JedwoJ dnoJ6 Jqefs ·g
1efuaw�Jadxa-aJd ·s
awq
fua1eA�nba-uou ·t:
·,
f:1wopueJ ·z
aw1nd�uew 'l
SAO 7-2
Read the two cases presented here and then answer the questions:
Case 1. Distance education program experts would like to assess whether there is
a difference in the performance of public administration students in the distance
learning mode and those in the residential mode. They will be compared in terms
of performance (based on overall average in a standardized test upon completion
of the course). The students who will be compared are mostly those who have
personally opted to enroll in a particular mode.
Case 2. A municipal mayor spearheaded a program on environmental management

for barangay development councils. Attendance was voluntary. To decide whether
the workshops should be continued and attendance made mandatory, the evalua
tor selects a comparison group from among employees who did not pre-register.
Pre-assessment questionnaires are prepared to determine overall knowledge, atti
tude and actual plans for environmental management. The same questionnaire is
given to members of both groups after the workshop to find out whether the
program should be continued or not.
1. What types of design are suggested in the following cases? Is it pre-experi

mental or quasi-experimental? Prepare a diagram to show the set-up before
making your decision.
2. What specific type of design under quasi-experiment or pre-experiment is sug
gested here?
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ASAQ 7-2
Case 1. This is a pre-experimental design (static group comparison). Two groups

are compared, with post-test measures only.
ExG distance learning

CG residential learning
Case 2. This is a quasi-experimental design (pretest-post-test with non-equivalent

control). Thus:
ExG 01 orientation on environment 02

CG 03 residential learning O4
SUMMARY
To summarize, quasi-experiments are similar to experiments in that the researcher

manipulates the experimental variable. However, they are not identical to experiments
because of the absence of random assignment of subjects to conditions. Hence, the
different designs under this mode require pretests to determine the comparability be
tween the experimental and control groups. In instances where no control group is
available to compare the performance of the experimental group, several assessments
are undertaken before the start of the experiment.
T he lack of pretests or comparison groups makes some designs very weak because of
the difficulty in distinguishing how much can be attributed to the experimental vari
able vis-a-vis the dependent variable. Such designs are referred to as pre-experiments.
REFERENCES
Creswell, John W.
1994 Research Design: Qualitative and Quantitative Approaches. Thousand Oaks: Sage Publi
cations.
Gay, L. R.
1996 Educational Research: Competencies for Analysis and Application. Columbus, 0 hio: Prentice
Hall.
Judd, Charles, Eliot R. Smith and Louise Kidder
1991 Research Methods in Social Relations. Forth Worth: Holt, Rinehart and Winston.
UP OPEN 1994 Research Methods for Public Administration. 2 11 Edition. White Plains, New York:
"
UNIVERSITY Longman Publishers.

MODULES
SURVEYS
INTRODUCTION
The previous modules showed you the different options for setting up your data
collection processes. In particular, the past two modules highlighted the critical
role of the researcher in "making things happen" or in setting up the occurrence of
the independent variable in experiments, both true and quasi.
The different models or approaches in setting up each of these types indicate as

well the importance of having at least two groups that can be compared, with one
of the two being exposed to the experimental variable. Another important concern
is the timing of the assessments, and how often they are conducted.
However, there are many occasions when events have already occurred before re
searchers are able to study them. In such situations, experiments, quasi-experi
ments, and even pre-experiments will not do.
This is where non-experimental methods are useful. They are popularly known as
survey methods.
OBJECTIVES
After completing this module, you will be able to:
Characterize surveys as a research design;

Define the different types of survey research to show cause-effect relation
ships;
Enumerate the other uses of surveys; and
Discuss the issues with regard to the use of this methodology.
1.0 WHAT IS A SURVEY?
The survey is a very popular approach to studies in public administration. This is

because researches are sometimes conducted after the event (i.e., a program, a project,
a policy) has occurred or is currently happening and the researcher can no longer
manipulate the event and control extraneous variables.
A basic feature of the survey method is the conduct of the study in the natural setting.
This may cover various periods of time: past (retrospective), present, future (prospec
tive), and following through the occurrence of the event (developmental). On the other
hand, in experiments and quasi-experiments, the event is observed as it happens un
der the control of the researcher.
In a survey, therefore, subjects cannot be assigned to either experimental or control

groups. As in quasi-experiments, subjects may determine the conditions they are will
ing to be affected by. Thus, technically speaking, the targets of a survey are not called
subjects. They are called respondents.
In brief, surveys do not have the two characteristics peculiar to experiments:
manipulation of the experimental variable; and

random assignment of subjects to conditions.
2.0 WHY DO SURVEYS?
Although surveys do not allow researchers to manipulate events or control extraneous

variables, they have the following strengths:
First, they make possible the reconstruction of past events and the prediction of pro
spective events, which may not be possible in experiments and quasi-experiments.
In experiments and quasi-experiments, the experimental variable must be subject to

the control of the researcher. Hence, the experimental variable is observed as it hap
pens. On the other hand, surveys can recall past events (for example, what services
were delivered to victims of calamities), which may be difficult to do when the focus is
on the event as it occurs.
Surveys can also anticipate what may happen based on a prospective assessment of
target respondents in a given situation. For instance, finding out the sentiments of
local executives regarding the minimum basic needs approach may be helpful in de
termining how much advocacy still needs to be done.
Second, surveys make possible the study of many variables, which experiments and
quasi-experiments can do only in a limited way.
A strength of the survey method is its capacity to weave in factors that may affect the
UP OPEN dependent variable. In doing so, it has the advantage of depicting the pattern of rela
UNIVERSITY tionships among them, whether positive, negative, or not at all.
RESEARCH DESIGN/ Surveys 117
On the other hand, experiments and quasi-experiments limit the variables that can be
studied. They focus mainly on the experimental variable and how the dependent vari
able is affected. Factorial designs include more experimental variables. However, fac
tors that may be related to the experimental variables are not included in the study.
Surveys allow for the study of several variables. Control can be exerted through the use
of statistical tests. This is similar to the physical manipulation in experiments.
Surveys can include many respondents and can therefore improve the capacity to gen
eralize to a bigger population.
Surveys make possible the study of many elements of the population. In the natural
setting, an event may affect many individuals in a given population. Thus, it is possi
ble to estimate a number that will ensure that only a tolerable sampling error is com
mitted. In a survey, the chief concern is implementing random selection of elements
from the population to ensure that they are representative in number. I will explain
this in more detail when I talk about sampling strategies in a later module. For the
moment, suffice it to say that this should be distinguished from the approach of ran
dom assignment of subjects to conditions in experiments. Random selection and ran
dom assignment are quite different processes.
Surveys can be applied in quantitative studies, answering any one or both of the de
scriptive and explanatory concerns of the study
A survey is not restricted to proving causal relations. It is not only the causative vari
able that is examined, but also other variables that could influence the assumed cause
and other variables that may influence Y (the dependent variable). Thus, many inter
connections can be established in a survey. For instance, instead of asking about the
impact of a program or a project, a survey may explore the attributes of the service
delivery persons and those of the target beneficiaries as they influence how the pro
gram impinges on the beneficiaries.
In addition to their explanatory thrust, surveys can provide descriptive arguments by

characterizing a given event, person, element, or process. But surveys summarize data
using numbers since the source of information is a large number of samples derived
from the population.
3.0 BASIC REQUIREMENTS IN THE CONDUCT OF A SURVEY
The roles of the researcher in a survey are:
Identification of the groups that will serve as the focus of the study--in par
ticular, where to draw the comparison groups especially for causal arguments;
Determination of the number of samples/elements (i.e., that will serve as a
reasonable number to enable the researcher to generalize his/her findings to
the population being studied); and UP OPEN
Determination of the timing of observation. UNIVERSITY
4.0 TYPES OF SURVEY DESIGN FOR CAUSL\TIVE PURPOSES
There are three main purposes that may be pursued through survey research: causal,
relational, and descriptive.
Let me first discuss the different modes of inferring causal connections in the survey
approach. This is the starting point of the discussion because inferring causality is
more demanding than simply identifying relations. On the other hand, the require
ments are less stiff for descriptive studies, since extraneous variables are not being
controlled and relational patterns are not being established. The other two applica
tions of surveys (relational and descriptive) will b� discussed in the next section.
Let me discuss some of the types of causal survey design. Actually, some of them try to
approximate the experimental method in the attempt to impute a causal relationship.
4.1 STATIC GROUP COMPARISON
This is similar to pre-experimental designs. The difference lies in the fact that the
independent variable here is not manipulated by the researcher. Two groups are com
pared, with observations being undertaken after the event has taken place.
This may be represented by the following:
Group 1 independent variable

Group 2
Group 1 is experiencing, has experienced, or may yet experience the most critical in
dependent variable (the assumed cause) which could affect Y. Group 2 has not experi
enced, is not experiencing, or will not experience the same exposure. ExG and CG are
not used as labels here because no experimentation is made by the researcher. Groups
are observed as they occur (or have occurred or are anticipated to occur) naturally.
In the identification of participants for each group, surveys differ from pre-experi
ments because participants are not identified before the onset of the study. Another
group that is similar in character to Group 1, with the exception of the causative factor,
is identified by the researcher.
Sampling is a practical strategy for studying big populations. For instance, the Mini
mum Basic Needs (MEN) approach in the Social Reform Agenda was piloted in se
lected areas in Luzon, Visayas and Mindanao. To test the impact of this methodology
in these areas, sample barangays can be chosen per region. From the sample barangays,
sample respondents per households may be drawn. The quality of life of the house
holds in these barangays may be compared with the quality of life in barangays with
similar characteristics.
While pretesting is not undertaken, some criteria can be set to refine the comparabil
UP OPEN ity of the two groups. Some of the criteria for identifying barangays that will constitute
UNIVERSITY Group 2 can be:
RESEARCH DESIGN / Surveys 119
the income level of the municipality where the barangays are based is sixth
class (the lowest income class level possible)
the characteristics of the population targeted by the program (i.e., low access
to service facilities)
Let me show how this was applied in a study assessing primary health care (PHC)
implementation in Pasay City.
In 1993, an evaluation of primary health care (PHC) in Pasay City was conducted by
the UP CPA (see Bautista 1995). The study assessed the effectiveness of PHC in two
pilot or experimental barangays in depressed areas. These were comeared with two
other depressed barangays that did not have the benefit of this exposure. Effectiveness
was assessed by such impact indicators as incidence ofillness and death in the sampled
households in the four barangays.
The morbidity pattern per barangay was as follows:
Barangays % of III to Total Household

District A
46 (Control Area) 64 (PHC Area)
20.0% 18.6%
District B
181 (PHC Area) 15.6%
182 (Control Area) 14.0%
Between the control group and the experimental group, District B PHC area did not
have an edge over its control group. The difference is more remarkable for District A:
its PHC area performed better than the control area.
However, it is noticeable that the PHC barangay in District B fared better (15.6% of
the households who got ill) than the one located in District A (with 18.6%).
Several factors could have affected the better performance of PHC barangay in Dis
trict B. These differences may be seen below:
Features Barangay 181 Barangay 6

Year started 1984 1985
Level of PHC III (since 1990) II (since 1991)
Regularity of PHC
Committee meetings Monthly None in the last 6 months
No. of hours devoted
to PHC by PHC
Committee members 8 hrs. per month 3 hours per month
The edge ofBarangay 181 of District B over Barangay 64 of District A may be attrib
uted to a number of factors. First is the fact that this barangay started with PHC im
plementation a year earlier than the second barangay. Second, the committee consti UP OPEN
tuted for PHC in Barangay 181 met regularly. (The PHC Committee is normally made UNIVERSITY
up ofrepresentatives oflocal government, nongovernment organizations and people's

organizations.) Third, more hours were devoted by the PHC Committee members to
PHC. Fourth, on a scale ofI to IV in level of PHC implementation, Barangay 181 was
adjudged as being in level III, while Barangay 64 was only on II.
An important finding is the slight edge of the control barangay in District B over the
PHC area in morbidity rates. The more critical one is the better performance of the
control group in spite of the fact that it was not considered a pilot barangay. For one
thing, the control barangay was noted to be adjacent to the health center. Second, the
local chief executive in this barangay duplicated the PHC activities in the pilot
barangays.
vs.
In this example, we see how a static group comparison can demonstrate the influence
of the causative factor on the manifestation of Y (the dependent variable). However,
finding reasons why there is no difference between the project area and the control
group in one district is facilitated by the information on the context of implementa
tion of health activities in both areas. There is contamination of the project perspec
tive in District B. Nevertheless, even if the project influenced the non-project area,
the result of the survey is useful.
The difference in performance between the project sites in the two districts can also be
explained by the fact that Barangay 181 was better managed than Barangay 64. Fur
thermore, PHC was started a year earlier in this site.
4.2 PANEL DESIGN
This is characterized by two or more groups that are compared at several points in
time as events occur. The participants may be grouped according to the critical vari
able which is considered as the cause of a significant modification in behavior or per
formance. In each group, other variables that may help explain why or why not the
assumed cause leads to a significant effect, are also examined.
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This may be represented as:
ol 02 o;
Group 1 x l xz x,...xk x 1 x2 x,... xk x 1 x 2x_,...xk
Group 2 x 1 x2 x,...xk x i x2 x 3...xk x 1 x2x3...xk
You will note that X is used here as a term to refer to the different variables studied.
This starts with the first variable, distinguished by the first subscript (X 1 ) and ranges
(spelled out by dotted marks or ... ) to a given number of other variables (Xk ). A sum
mary of the findings per assessment can be made for these two groups, with the first
representing the group with exposure to the hypothesized causative factor, while the
second does not have this benefit. The different X's here are examined to determine
their importance in explaining the occurrence of the dependent variable.
For instance, the performance of pilot areas introduced to the MBN approach that
relied on the advocacy and mobilization efforts of nongovernment organizations
(Groupl) may be compared with the advocacy of government through the Depart
ment of Social Welfare and Development (Group 2). Randomly selected barangays in
Group 1 will be contrasted with those areas that relied on government advocacy. It is
presumed that differences will be manifested in terms of quality of life indicators (the
dependent variable). Other variables will be studied to assess how these could be linked
with the causative factor or the dependent variable itself. Some of the variables may
include: income level, educational attainment, preparation for involvement in com
munity activities, and level of involvement in MEN-linked community activities. The
dependent variable (quality of life) will also be determined for the two groups of re
spondents. Furthermore, this set of information will be obtained over a period of time
at different points of observation (i.e., 0 1 , 0,, 0,, etc.)
Thus, this may be presented as:
0l
Group 1 (barangays
with NGO advocacy Variables that may be gathered per group:
on MBN) X 1 -educational attainment
X2 -family income
Group 2 (barangays X,-preparation for involvement in community activities
with government X4 -level of involvement in community activities
advocacy on MBN) Y-quality of life indicators
For instance, MBN processes applied with respect to MBN and selected administra
tive capability indicators may be examined among targeted 5th and 6th class munici
palities (Group 1) vis-a-vis those without this intervention (Group 2). This can be
assessed on a semestral basis to see what the interventions have done to the targeted
areas compared to municipalities without the intervention.
The advantage of this is that there are several periods when measurement takes place
and the researcher gets to find out how much improvement is happening over time UP OPEN
until the terminal point, when the research is completed. In contrast, static group UNIVERSITY
comparison does not establish this kind of baseline information from which to assess
relative improvements over time.
It is possible that the participants in this type of design will drop out of the scene
(mortality), reducing the total number of participants. New ones may also enter the
vicinity or the site where it is being implemented. Segregating would be helpful since
new participants who come in the latter part of the assessment may generate lower
performance than the old ones.
4.3 CROSS-SECTIONAL OR PSEUDO-PANEL DESIGN
This is characterized by the study of respondents who are asked to trace events or
variables that they have experienced at various point in time. The respondents are
asked to reconstruct these events and are made to report their experiences in the dif
ferent periods in their life time (beginning with the past; until the present). It is called
a pseudo-panel because the participants are in fact not assessed over time; rather, they
are made to recollect their personal experiences.
It is possible to compare two or more groups, where at least one serves as the group
where the causative factor is experienced vis-a-vis another one where this is not intro
duced (approximating a control group). Between the two groups, other variables may
be determined and measured.
Thus, this model may be represented as:
Group 1 x .
11
X 1 .2 Xu..... xl.k
(ExG) x21 x22 x23· .... xz.k
xkl xk.z xk.3..... xk.k
Group 2 xi .
I
X 1 .2 Xu..... xl.k
(CG) x2.
1
x2.2 x2_3..... xz.k
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UNIVERSITY xk.
1 xk.z Xk.3..... xk.k
Take note that the observation occurs at one point in time but the assessment tries to
reconstruct the respondents' experiences per group with respect to a set of variables
and changes at different points in time. T he symbol X 1 .1 indicates the observation at
time 1 (for the first subscript) of the first variable (second subscript). T he symbol X 1 . 2
indicates the observation at time 1 (first subscript) of the second variable (second sub
script). Xk.k indicates the possible range in terms of time periods and number of vari
ables which could be included in the survey.
Let me cite as an example an assessment of the Area-Based Child Survival and Devel
opment Program (ABCSDP) implemented in seven most depressed provinces of Sulu,
Basilan, Tawi-Tawi, Lanao del Sur, Maguindanao, Ifugao and Negros Occidental by
the UP-CPA.
A peculiar feature of the program is the introduction of four management technolo

gies that served as the precursor of the Minimum Basic Needs Approach (MBN) in the
Social Reform Agenda (SRA). T hese four approaches included: devolution of services
to local government units since autonomy was granted to them in planning the activi
ties to be implemented for children and mothers' welfare and power in the use of
financial resources; convergence of efforts of various sectors (national government,
local government units, nongovernment organizations, and people's organizations);
focused targeting or the identification of children and mothers in the most depressed
barangay in the most depressed municipalities in these provinces based on rational
criteria; and social mobilization or the need to steer various sectors to be oriented to
the technology as programs and projects are planned at the local level.
T he role of the team of evaluators was to design a plan for the assessment of the effec
tiveness of the methodology. One of the designs of the assessment took the form of a
cross-sectional study whereby three pilot barangays in the most depressed municipal
ity per region were compared with three other barangays without the benefit of this
exposure from the same municipality.
Randomly selected household decision makers on health in the barangays were asked
about the services they received in 1988 and 1991. Table 8-1 shows the data on this
particular variable.
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Table 8-1. Magnitude of Utilization of Services by Mothers in 1988 andl99I,

Comparing Pilot Barangays and Non-Project Barangays (in%)
Pilot Barangays Non-pilot Barangays
Services 1991 1988 Difference 1991 1988 Difference Net Effect
Prenatal
-Tetanus Toxoid 8.7 3.6 5.1 7.1 4.3 2.8 2.3

-Vitamin
Supplementation 9.0 3.8 5.2 7.2 2.7 4.5 0.7
-Physical Exami nation 7.9 2.3 5.6 5.6 2.5 2.1 3.5
I
Mother's Classes 3.1 1.4 1.7 2.1 1.2 0.9 0.8
I
Training for
I
Community Activities 3.1 1.4 1.7 2.1 1.2 0.9 0.8
The table shows that two time frames were traced in this particular investigation: 1988
when the program started, and 1991, the year before the assessment was undertaken.
The procedures for assessing the net effect followed the pretest-post-test design of an
experiment. But in the ABCSDP study, the evaluation came after the program was
implemented. Hence, the researchers traced what happened to selected variables when
the program started. Participants in the study were also randomly selected. (Subse
quent discussions on probability sampling will recall what procedures were under
taken in this particular research.)
A major threat in cross-sectional studies has to do with the ability of individuals to

recollect what happened in the past.
Pause for a while and take the following SAQ.
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SAO 8-1
Underline the correct answer:
1. Survey is (the same as; different from) experiments and quasi-experiments.

2. Surveys study events (in the natural setting; based on the manipulation of the
researcher).
3. Surveys are more concerned with (random assignment of subjects to experi
mental and control groups; random selection of respondents from the popula
tion).
4. A survey design that analyzes the impact of a mothers' class program on proper
nutrition based on two groups, one exposed to the program and another with
out this exposure, where measurement is made after the program has occurred
is called (cross-sectional, static group comparison).
5. A survey design makes randomly selected mothers from two barangays recall
how they were in terms of the kinds of menus they were preparing before
being introduced to the nutrition class by a nongovernment organization (NGO)
and how they are at present (six months after exposure to the mother's class).
They are compared with randomly selected mothers from two barangays in the
same municipality who have not had the benefit of this exposure. The second
group is also assessed at present, but respondents are asked to recall what
their general practice was before and at present. Other variables are studied
such as their income levels before and at present and other training programs
attended similar to the one offered by the NGO. This is a (static group com
parison, cross-sectional ) design.
Now, check how you fared!
ASAQ 8-1
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-ap no/\ 'sJaMsue paJJOJ aaJ4:+ :isea1 :ie :io6 no/\ :H
lPUOqJaS-SSOJJ 'S
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6u�nas 1eJn:ieu a4:i u� ·z
WOJJ :iuaJaJJ�P ·1
UP OPEN
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5.0 SURVEYS FOR RELATIONAL AND DESCRIPTIVE PURPOSES
The previous section focused on different designs may be utilized to show the impact
of a critical independent variable on the occurrence or behavior of a dependent vari
able. We now know that:
observations can occur at different points in time in the cycle of a critical event
being assessed (i.e., before, during, probable future);
the role of the researcher is that of an observer and not a manipulator of the
critical event to be studied;
comparable groups can be useful in demoljstrating the impact of the critical
independent variable (the assumed cause) with one group exposed to the as
sumed cause and another without this exposure; and
incorporating other variables can be useful in explaining why or why not the
assumed cause leads to a change in the desired behavior or performance.
However, showing cause-effect relationships is not the only reason for conducting
surveys. Some relational propositions may also be posited without necessarily arguing
that one factor is the cause, and another the effect.
5.1 RELATIONAL ARGUMENTS
For instance, some relational arguments may be posited independently of causal argu
ments. An example is a research exercise of a group of masteral students in public
administration for a PA. 299.2 class that was published in the Philippine Journal of
Public Administration (Paez-Hidalgo et al. 1987).
In their research, they sought to trace the relationships of the following variables:
Personal (age, sex)

Profile
ATTITUDE
Political (i.e., organizational
membership in political
parties and cause-oriented
groups
Policy Position
(i.e., income profession, (Resolutions Favored)
Socio
economic occupation, ethnicity,
religion, educational
attaintment,
UP OPEN business affiliation
UNIVERSITY
· RESEARCH DESIGN/ Surveys 127
As the framework shows, the paper argues that the personal profile, political affilia
tion, and socioeconomic standing of Constitutional Commission members influence
their attitude regarding certain issues and their policy position (demonstrated by reso
lutions favored on these issues). No particular factor is considered to be the most criti
cal in influencing particular attitudes or actual behavior in response to certain issues.
Unlike causative arguments which require comparison groups to demonstrate the

impact of an independent variable (X), relational studies do not consider this as a
must. Groups are compared in terms of a particular variable mainly to show that Y is
affected more often in one group than in the other. T his is done not to argue cause and
effect but mainly to show the relationships between variables.
For instance, in a commissioned project to assess the human development commit

ments of legislators (Bautista et al. 1996), two groups were assessed to understand the
performance of the legislature. To be able to assess the profile of the legislators and
their commitments to or stand on selected issues, the members of Congress were clas
sified into senators and congressmen. Distinctions were made in the performance of
these two categories on various dependent variables like: number of bills initiated on
human development, number of bills passed, and attitude planning, among others.
5.2 DESCRIPTIVE PURPOSE
Other than causative and relational studies, surveys may also be conducted for de
scriptive purposes. In other words, the main thrust of the research is to characterize
what a given group of people might think or believe in. It may also focus on quantify
ing particular resources or estimating the degree to which processes are complied with.
Descriptive surveys fall under the quantitative approach because the ultimate thrust
of the design is to quantify or measure the facts obtained, based on a large number of
elements drawn from the population.
I recall some of the research problems raised by a group of students in my class in the
first semester of 1997-1998. Some of the major topics pursued were as follows:
What qualities do masteral students of the University of the Philippines (UP)

College of Public Administration consider to be important for being a presi
dent of the country? Who among the presidential bets is likely to manifest
these attributes? Who are students likely to vote for?
What is the attitude of UP Integrated School teachers to the commercializa
tion of UP prime lots in UP's main campus? How did this group of faculty
members get to know about the commercialization issue?
What is the attitude of UP College of Public Administration masteral students
to charter change before the presidential elections? How about after the presi
dential elections? What issues are considered important for charter change?
Notice that in these three sets of problems, observations occur at various points in
time: UP OPEN
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Number 1 is current (qualities considered important) and prospective (who

they are likely to vote for)
Number 2 is current (their attitude to commercialization) and retrospective
(what helped shape their opinion about commercialization)
Number 3 is current (attitude regarding charter change) and prospective (prob
able modifications should it take place)
It's time now for another SAQ. Good luck!
SAO 8-2
Identify the type of survey design in the following cases. Indicate whether it is
explanatory or descriptive in the space provided.
1. A training director for social workers is interested in determining whether a

new set of materials using a multicultural thematic approach has an effect on
participants' attitude to different cultures. The training director introduced a
topic on cultural sensitivity that utilizes this particular training material. A
researcher was invited to find out whether this material has helped improve
the participants' cultural sensitivity. He/she provided them with a checklist of
items which was sent out to their respective addresses. They were compared
with another group who attended the same training program in social welfare
management but who did not have this exposure to the multicultural thematic
approach. Questionnaires were also mailed to this group by the evaluator.
2. A personnel officer requested an evaluator to find out whether providing day

care services to administrative personnel with 0-3 children has contributed to
reducing absenteeism. The evaluator sent questionnaires to mothers who brought
their children to the center, asking them to make a personal assessment of
their productivity and absenteeism before and after the program was intro
duced. The assessment also established the satisfaction level of the women
with the day care services, and whether this satisfaction level affected their
usage of the day care center. Non-users among the same group of workers with
children of the same age were asked why they were not bringing their children
to the day care center.
Both groups of respondents were asked to indicate the income of their family
and whether relatives who could take care of the kids lived with them and how
this affected reliance on day care centers.
UP OPEN
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RESEARCH DESIGN / Surveys 129
3. A researcher was asked to make an assessment of the profile of registered NGOs in

1996. Sampled registered NGOs were issued questionnaires by the researcher to
determine their purpose, track record in development work, areas of development
they had been involved in, composition, and financial capacity.
4. A study on the commitment to social development of legislators examined

whether there are differences between males and females, and between sena
tors and congressmen, in the number of bills they advocated and:passed for
social development.
Find out how you fared. Look at ASAQ 8-2.
ASAQ 8-2
·Apnls 1euoqe1a1 s� s�41 ·y

·Apnls aAqd�nsap s� s�41 ·t:
·u6�sap 1euoqJas-sson '/\JOleue1dxa s� s�41 ·z
·u6�sap uos�1edwoJ dno16 Jqels 'AJOleue1dxa s� s�41 ·1
You deserve a piece of chocolate ( or any favorite snack) if you have at least three
correct answers. If you have less than three, you have to review this module.
ACTIVITY 8-1
You should be formulating the research design for your proposal, given the re
search problem you have decided to work on.
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SUMMARY
To summarize, survey research is characterized by:
Observations by researchers of events occurring in the natural setting.No ma

nipulation takes place to make events occur.
Observations are conducted not only while events one taking place. Past events
may be reconstructed and future ones anticipated from the points of view of
particular groups of people.
The number of groups to be studied or contrasted depends on the type of re
search problem raised. It is very important in causative propositions, but not
imperative in relational and descriptive studies.
The number of participants who will represent the population is an important
basis for making generalizations.
REFERENCES
Bautista, V ictoria A.
1995 Primary Health Care in Pasay City: Summary of Findings, Conclusions and Policy
Agenda. Philippine Journal of Public Administration. XXXIX 3 (July).
1992 Institutionalization of ABCSDP: Highlights of a Feasibility Assessment. Philippine

Journal of Public Administration. XXXVI, 2 (July).
______ , Ebinezer Florano and Juvy Lizette Gervacio
1995 Legislators' Commitments in Human Development. Quezon City: UP College of Pub
lie Administration.
1991 Research Methods in Social Relations. Fort Worth: Holt, Rinehart and Winston.
1994 Research Methods j(Jr Public Administration. 2nd Edition. White Plains, New York:
Longman Publishers.
Paez-Hidalgo, Ma. Victoria, Dan A. Saguil, and Gina Israel
1987 Socio-Demographic Profile of the Members of the 1986 Constitutional Commission.
Philippine Journal of Public Administration. XXXI, 1 (January).
UP OPEN
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MODULE9
ISSUES OF VALIDITY
AND RELIABILITY
INTRODUCTION
The previous modules dealt with the different types of quantitative research for
both explanatory and descriptive research problems.
The current module focuses on some basic rules in the conduct of quantitative
modes of study.
If you have noticed, time and again we have talked about how important it is to
make sure that in explanatory studies, our observations attribute the occurrence of
the dependent variable to the independent variable. We have stressed the impor
tance of controlling extraneous variables. Our capacity to do so varies, depending
on the type of research design we undertake.
We make ah effort to rule out unnecessary variables to make sure that when we
attribute to an independent variable or a set of variables the occurrence of the
dependent variable, we are measuring these set of factors and nothing else.
OBJECTIVES
At the end of this module, you will be able to:
Distinguish between validity and reliability;

Determine the factors that could affect validity and reliability;
Differentiate between internal validity and external validity; and
Distinguish between experiments and quasi-experiments, on the one hand,
and surveys, on the other hand, in terms of validity issues.
1.0 VALIDITY AND RELIABILITY
You are probably familiar with the terms "validity" and "reliability". I mentioned
them when we discussed the different quantitative designs. I wish to recap the points I
made and stress that in our attempts to control extraneous variables and avoid all sorts of
errors in the conduct of an investigation, we are ensuring validity and reliability. In other
words, we deal with these qualities in the conduct of investigation in all phases of the
research process.
What then is validity and reliability?
Validity characterizes a research process that is abl� to measure the variables that the
research purports to measure. If, for instance, a researcher aims to assess the impact
of program x, it should be x that is evaluated and not another program.
On the other hand, reliability is obtained when a research design measures consist
ently what it aims to measure. In other words, an assessment that is reliable leads to
the same results even with repeated measurements.
=
1 2 3
It is possible for assessments to be reliable but not valid. Reliability is without signifi
cance if the more basic quality of validity is not addressed by a research design. You
can be reliable in obtaining information from a group of respondents, but if the infor
mation you get is not salient to the variables of the study, then this reliability is not
helpful at all.
2.0 FACTORS AFFECTING VALIDITY
Validity is affected by errors that are constant or systematic in scope-i.e., they

occur consistently throughout the research process.
UP OPEN
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RESEARCH DESIGN/ Issues of Validity and Reliability 133
2.1 STABLE CHARACTERISTICS OF SUBJECTS OR RESPONDENTS OF THE STUDY
Subjects in experiments and quasi-experiments or respondents in surveys may bear

basic personal characteristics that could influence their response to particular factors
or variables of the study. We have talked about these earlier but I am focusing on these
factors as they are subsumed under constant errors. For instance, introducing training
programs to service delivery workers in health to ensure that they are able to internal
ize the value of the participatory approach may be influenced by constant personal
characteristics, such as:
Intelligence: Those with basic intelligence learn the material faster than those
who have low I.Q. (intelligence quotient).
Preparation for the topic being introduced or history with respect to the sub
ject matter being introduced: Past exposure to the same material may unduly
upscale the performance resulting from the introduction of the independent
variable.
Socioeconomic standing: This is a common factor that could differentiate per
formance on a number of variables. Those in higher socioeconomic standing
have unusual opportunities compared to the poverty groups.
Experiments deal with these factors through random selection of subjects for experi
mental and control groups.
In the absence of random selection in quasi-experiments and surveys, careful selec

tion of groups to be studied can be made to ensure that groups compared are more
or less comparable, with the exception of the critical variables studied. In surveys,
these factors may even be woven in as additional factors for the study to understand
the behavior of the dependent variable.
2.2 INVESTIGATOR'S STABLE PERSONAL CHARACTERISTICS
Investigators, too, may influence the way subjects in experiments or respondents in a

survey will respond. Investigators undertaking an experiment on how a particular train
ing program content (e.g., respect for gender equality) may not encourage acceptance
of the idea. In other words, the investigator who is delivering the message could him/
herself turn off participants. In the case of surveys, interviews conducted by investiga
tors may also be unduly affected by their capacity to establish rapport with respond
ents.
Thus, it is important to exert care in determining who will be involved in the re
search activity. Investigators in experiments as well as surveys can be screened for
their capacity to steer the process without affecting clients. This is why training is
very important. Not everyone is cut out to conduct, good interviews, for instance.
2.3 CONTEMPORANEOUS FACTOR
We said something about this in the discussion of the conduct of experiments. I wish UP OPEN
to repeat here that this can also serve as a source of constant error that could affect the UNIVERSITY
validity of a research investigation. Sometimes, such factors cannot be ruled out im
mediately in experiments, and are sorted out by measuring the cause of X separated
from maturation and contemporaneous factors using a pretest-post-test design. If not,
then this limitation has to be pointed out in the research proposal.
In surveys, contemporaneous factors may be included as part of the investigation. Sur

veys give flexibility to the researcher to indicate many other factors apart from the
assumed cause that could affect the manifestation ofY (the dependent variable). These
can be determined early enough so that they can be incorporated in the study. If they
are unanticipated, they can be reported as a limitqtion of the study.
2.4 INSTRUMENTATION
Instruments for measurement may also result in systematic error if they are not care
fully planned. Lack of specificity in assessing certain variables could lead to varying
interpretations by respondents or subjects of the study. I mentioned earlier the vari
able of family income. If there is no indication of whether it is being assessed on a
monthly or yearly basis, respondents will give their own interpretation.
Validity is addressed by making sure that the instruments adopted for data collection
measure what they purport to measure.
3.0 FACTORS AFFECTING RELIABILITY
Let me now discuss the issue of reliability. In addition to being valid, the design and
conduct of the research should ensure consistent information from the target subjects
or respondents. Factors that hinder this should be avoided.
The question is, what are the possible factors that may lead to problems regarding
reliability?
Reliability is often influenced by transitory features of components of the research

process. The subjects or respondents of the study, the investigator and the environ
mental context where the observation is to take place have transistory characteristics
that generate random errors. These affect the reliability of a study.
3.1 TRANSITORY CHARACTERISTICS OF SUBJECTS OR RESPONDENTS
There could be instances when the subjects of experiments and quasi-experiments or

respondents of surveys manifest traits or attributes that are not typical of themselves.
For example, the responses of a mother being interviewed about the impact of moth
er's classes may be affected because she just had a quarrel with the husband or she has
a child who is sick. Her responses to the interview would have been different if the
information were obtained under different circumstances. Another example is inter
viewing a local government executive in the workplace. The official may respond quickly
UP OPEN to the questions because many persons are waiting for his/her attention. His/Her re
UNIVERSITY sponse would have been different if he/she were not harassed by callers.
RESEARCH DESIGN/ Issues of Validity and Reliability 135
Thus, it is important for interviewers to appreciate the condition of the respondents of

the study to make sure that the right moment is set for data gathering.
In the conduct of experiments, participants may not attend the full session because
they are sick or because of heavy responsibilities at home. Suppose that in a training
program to upgrade the capabilities of civil servants, a participant who missed one
lesson may have a lower performance in the post-test. Normally, this person could
have performed better. This is a transitory feature of this subject that may be regis
tered in the post-test.
It is the researcher's duty to be aware that these problems could affect the subjects or
respondents. They should be anticipated so that measures for avoiding them can be
adopted. If they can't be avoided, they should be reported.
3.2 TRANSITORY CHARACTERISTICS OF THE RESEARCHER AND OTHER

PARTICIPANTS IN THE CONDUCT OF THE INVESTIGATION
Researchers, too, may be influenced by transitory personal characteristics that could

affect the dependent variable. For example, a researcher assesses the influence of ma
terials on multicultural sensitivity in a training program. The trainers for both pro
grams are of the same caliber. But the effect of random error could be experienced if
one of them develops a freak temper and does not deliver the message for one of the
modules in the program in the experimental group. As a result, there may be a nega
tive response to this particular module, which may pull down the overall performance
of the participants.
In the conduct of survey interviews, interviewers who are tired but still go on with the
session may not ask the questions carefully. Sensitive items that require care in posing
the questions may be expressed in an insensitive way and may not generate appropri
ate responses from participants.
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Researchers who are not in the right mood may also process data incorrectly. They
may put the wrong information in the wrong cells of tables being prepared and yield
inaccurate data for analysis and interpretation.
Researchers should be sensitive to their disposition to conduct the investigation. They

should set the right tone and mood to ensure that their demeanor does not affect the
respondents/subjects of the study.
3.3 CONTEXTUAL FACTORS
Transitory characteristics in the environment may aiso influence the general perform
ance of the subjects or respondents and even the researchers themselves. For instance,
occasional brownouts in Metro Manila could affect the general receptiveness of the
participants of a training program on multicultural sensitivity. Modules requiring the
use of transparencies may be reduced to mere lectures. If there is enough warning that
this might happen, remedial measures could be adopted so as not to affect the flow of
the experiment (for instance, preparing visual aids on posters or flipcharts.)
Surveys could also be affected by the interference of persons other than the one ex
pected responding to the questions of the interviewer. This is especially true of house
hold surveys. Some husbands answer queries that are directed to their wives. Researchers
should therefore try to avoid such occurrences by tactfully saying to whom the ques
tions are directed.
Later on, I will point out some data collection techniques that will correct some of
these occasional errors.
4.0 ISSUES OF INTERNAL AND EXTERNAL VALIDITY
In talking about validity, we need to deal with some variants of it like internal validity
and external validity. A study is said to have internal validity when its design will
lead to correct conclusions about a causal relationship. It has external validity when
its results are generalizable to a wider context than the specific setting and sub
jects of the study itself.
In the conduct of experiments, internal validity is established when there is care in

controlling extraneous variables that could influence the dependent variable. Internal
validity is ensured when only the independent variable could have affected Y. Experi
ments and quasi-experiments are often the preferred strategies because internal validity is
facilitated by the researcher's control of the conditions in the conduct of the study.
However, while experiments may be strong in terms of internal validity, they may be
weak in terms of external validity. There are several reasons for this. First, it may be
difficult to randomly select experimental subjects from the larger population. The
subjects may be a special subset, like college students, or members of a particular com
UP OPEN munity. This makes it difficult to establish that the results will be generalizable to the
UNIVERSITY population at large. Second, the controlled conditions required by an experiment may
RESEARCH DESIGN / Issues of Validity and Reliability 13 7
create an unrealistic, artificial environment. This may restrict the extent to which the
results can be generalized to the "real world."
Surveys are able to avoid this weakness since events are studied in the natural setting.
The respondents of the study are actually exposed to the event which transpires (has
transpired or is anticipated to transpire) and they have personally made the decision
to engage in it or to distance themselves from it.
The role of the researcher in this case is to select enough elements or participants who
can serve as respondents to represent those who benefited as contrasted with those
who have chosen not to be involved or to participate in the event.
Surveys can therefore respond to the issue of external validity. However, they are weak
in terms of controlling extraneous variables, which experiments are able to do. Sur
veys occur in a setting where multiple factors impinge on X and researchers may have
difficulty ruling them out. Realizing this weakness, researchers incorporate these fac
tors in surveys and interrelate them with the critical independent variable and the
dependent variable. Nevertheless, survey designs remain weaker than experiments in
terms of internal validity.
Box 9-1. Experiments vs. surveys
Experiments: strong on internal validity, weak on external validity

Surveys: strong on external validity, weak on internal validity
How much do you remember what we took up here? It's time, folks, for an SAQ.
UP OPEN
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SAO 9-1
Read the cases below and answer the following questions:
a. What type of design was applied (experimental, quasi-experimental, survey)?

You may also indicate the subtype for each broad category.
b. What are the extraneous factors? Indicate which ones affect the validity
and/or reliability and why.
1. A public administration researcher conducted 9 study of the accessibility of

governmental services of agency X to their cli�nts. The researcher hypoth
esized that well-dressed clients who were articulate and appeared knowl
edgeable of the agency's procedures would be given more immediate atten
tion than those who were shabbily dressed, unable to express themselves
adequately, and unfamiliar with the agency's standard operating procedures.
The project hired 12 researchers, six of whom were to pose as the first type
of clients, and the remaining six, the other type. As respondents, 24 bureau
crats from the agency who were in direct contact with the public were
randomly distributed to each of the two conditions. Then the researchers
who posed as clients visited the agency and recorded the amount of time
required for them to get the service they needed. (The service was control
led.) While the observation was ongoing, a memo was issued enjoining all
personnel of the agency to render efficient service. Furthermore, three of the
personnel included in the observation had measles and were not available
for 50% of the time that the observation was conducted.
2. A researcher determined the average number of days a service is extended to

sampled new Philippine Long Distance Telephone Co. (PLDT) and Bayantel
subscribers for the month of October in Metro Manila. Since there are 5,000
subscribers for the month of October, samples were randomly selected. They
were sent questionnaires. In the course of the study, the researcher found
out that PLDT had a strike that same month.
3. Middle-level executives of a banking institution were given training on crisis

management. Volunteers from the group of executives were asked who would
prefer to participate in this in-house training program. The rest were only
given brochures. A researcher was asked to assist the program implementors
to make sure that the program was being taken seriously by the partici
pants. Prior assessment of the knowledge of the middle-level executives was
made. After the program, the two groups were rated based on tests on
sample problems on crisis management. In the middle of the training
program, a resource speaker went on emergency leave because of a death in
the family. He was replaced by a less dynamic and evocative resource person
who managed a quarter of the time of the program.
UP OPEN
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RESEARCH DESIGN / Issues of Validity and Reliability 139
ASAQ 9-1
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SUMMARY
On the whole, the principles of validity and reliability deal with many constraints
resulting from the characteristics of many components of the research process, such as
subjects, investigators, environmental context, and instrumentation.
Prior to the conduct of the investigation, validity is dealt with by ensuring that the
conditions of the investigation can control these factors to prove that it is only X that
affects Y. This means controlling many sources of errors that could systematically
affect the results of the study. As these factors are eliminated or held constant for the
comparison groups, the requirements of internal validity are complied with. Internal
validity is particularly addressed by experiments, and to a limited extent, by quasi
experiments. The latter mode has difficulty ensuring comparability of subjects of the
study because of the inability to randomly assign subjects to conditions.
However, experiments and quasi-experiments are both weak on external validity be
cause of their difficulty in obtaining a representative number of participants to make
generalization possible. This is dealt with by surveys. While surveys have difficulty UP OPEN
ensuring internal validity since researchers are not able to define and control condi- UNIVERSITY
tions for observations, surveys can integrate these sources of variations in the study
itself.
Finally, apart from making sure that a research design ensures validity, researchers
should also make sure that transitory errors are avoided for them to obtain reliable
information. Reliability is characterized by getting the same results with repeated
measurement.
REFERENCES

1991 Research Methods in Social Relations. Fort Worth: Holt, Rinehart and Winston.
nd
1994 Research Methods for Public Administration. z Edition. White Plains, New York:
Longman Publishers.
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RESEARCH AND

Published in the Philippines by the UP Open University

First printing, 1998

Illustrations by Warren De Lara

Printed in the Philippines

In the preparation of these materials, I wish to acknowledge the contribution of several

My Instructional Designer was Dr. Waldetrudes M. Sison of the UP College of Education.

OVERVIEW OF RESEARCH AND TYPES OF RESEARCH

The Meaning and Requirements of Research

Types of Research in Public Administration

ELEMENTS OF PROBLEM FORMULATION

Statement of the Research Problem

Other Elements in the Statement of the Research Problem

Quantitative Research Designs: Experiments

Issues of Validity and Reliability

SELECTING THE UNIT OF ANALYSIS AND SAMPLING TECHNIQUES

Selecting the Unit of Analysis and Probability Sampling Strategies

Non-Probability Sampling and Sampling Issues

TECHNIQUES OF DATA COLLECTION

Primary Techniques: Direct Observation

Interviews, Questionnaires, and Indirect Methods

PROCESSING, DATA ANALYSIS AND INTERPRETATION

Data Collection, Processing, Analysis, and Interpretation

Writing the Research Report

Annex A. Basic Instructions in the Application of Microstatistics, 283

This unit covers three modules.

The first provides you with an overview ofresearch as a method ofinvestigation.

What is research all about?

This module aims to help you-

Define the qualities of research as a mode of inquiry;

1.0 A DEFINITION OF RESEARCH

Research is a method of inquiry for the purpose of obtaining facts in response to

An empirically verifiable realm is one that is founded on factual information which

2.0 CHARACTERISTICS OF THE SCIENTIFIC METHOD

Let me now discuss the characteristics of research:

2. It is accurate. The method of research emphasizes the importance of correspond­

3. It is precise. Aside from accuracy, scientific investigation also aims at estimating

4. Observations are recorded We cannot rely on memory to register everything that

6. Observations are usually undertaken under controlled conditions. This means

For instance, a favorite science experiment in grade school is to assess whether

Other unnecessary conditions are controlled or eliminated to enable us to trace the

Various approaches or schemes for undertaking an investigation are available. They

3.0 CHARACTERISTICS OF SCIENTIFIC KNOWLEDGE

Considering the characteristics of the scientific method, how do we ch·aracterize knowl­

1. Knowledge derived from a scientific process is tentative. That is, it is theoretically

3. Scientific knowledge is empirically verifiable. If the method applied is objective

4. Scientific knowledge is ethically neutral. This is because there is a conscious

Writ(: True or False in the blank before each item.

1. Knowledge derived from scientific investigations is final.

See the answers to these questions in ASAQ 1 - 1.

4.0 QUALITIES OF A GOOD RESEARCHER

To .be able to accomplish many of the requirements of scientific observation, a re­

2. Skepticism. As a researcher, you should always adopt a questioning mind with

4. Creative imagination. This is an important att�ibute for a researcher as it enables

5. Resourcefulness. A good researcher is one who explores many sources of informa­

6. Logical mind A researcher must be logical. To be logical is to be able to apply

5.0 THE ROLE OF FACT AND THEORY IN RESEARCH

Since research is based on empirically verifiable observations, it is accurate to say that

A theory is an "interrelated set of constructs (or variables) formed into propositions or

Thus, research is both fact-finding and theory building.

5.1 HOW FACTS CONTRIBUTE TO THEORY BUILDING

Furthermore, facts lead to the reformulation or rejection of theory. Facts make us

5.2 HOW THEORIES CONTRIBUTE TO FACTS

2. It is accurate. The method of research emphasizes the importance of correspond

Considering the characteristics of the scientific method, how do we ch·aracterize knowl

To .be able to accomplish many of the requirements of scientific observation, a re

5. Resourcefulness. A good researcher is one who explores many sources of informa

Operations research is often conducted with reference to a given organization. Nor

Administrative capability indicators, such as adequacy, timeliness, and appropriate